Dissertation Annotated Bibliography for….. (Due date – Sunday 11th February, 2018 DUE IN 20 HOURS FROM NOW)

 Annotated Bibliography

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As  part of your Doctoral Seminar for this set of weeks, you are participating in a seminar-style discussion about the weekly  topics.  You must address 5  of the attached Dissertations in the prescribed format (Also attached in MSWORD). As a related exercise, submit an annotated  bibliography of the 5 resources you referred to this week. For each dissertation entry, be sure to include the full APA citation and address the following :

1.  Scope

2.  Purpose

3.  Philosophical Approach

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4.  Underlying Assumptions

5.  Research

6.  Limitations

7.  Opportunities for further inquiry

8.  Validity of use

Weekly Topic: Sustainability and Community participation

Dissertation Resources:

  

Anderson, T. D. (2017). The role of rural community colleges in promoting sustainable economic rural community development: A multiple case study (Order No. 10284673). Available from ProQuest Dissertations & Theses Global. (1914908221). Retrieved from

http://ezp.waldenulibrary.org/login?url=https://search-proquest-com.ezp.waldenulibrary.org/docview/1914908221?accountid=14872

Mah, V. A. (2016). Sustainability of community-managed projects in the north west region of Cameroon (Order No. 10589722). Available from ProQuest Dissertations & Theses Global. (1885887991). Retrieved from

http://ezp.waldenulibrary.org/login?url=https://search-proquest-com.ezp.waldenulibrary.org/docview/1885887991?accountid=14872

Demirciler, B. (2014). Evaluation of sustainability in development projects utilizing renewable energy products in Zimbabwe (Order No. 1568035). Available from ProQuest Dissertations & Theses Global. (1608980895). Retrieved from

http://ezp.waldenulibrary.org/login?url=https://search-proquest-com.ezp.waldenulibrary.org/docview/1608980895?accountid=14872

Kam, R. J. (2016). Cultivating self-sustaining rural communities: A design exploration for development in Puna, Hawai’i (Order No. 10295892). Available from ProQuest Dissertations & Theses Global. (1846119303). Retrieved from

http://ezp.waldenulibrary.org/login?url=https://search-proquest-com.ezp.waldenulibrary.org/docview/1846119303?accountid=14872

Artyushevskaya, N. A. (2014). The role of women in sustainability of donor-funded rural drinking water supply projects in developing countries: A case study of Tajikistan (Order No. 1560727). Available from ProQuest Dissertations & Theses Global. (1562750005). Retrieved from

http://ezp.waldenulibrary.org/login?url=https://search-proquest-com.ezp.waldenulibrary.org/docview/1562750005?accountid=14872

2

Annotated Bibliography

Akange, S. S. (2016). Impact of potable water availability on economic development of north Benue state (Order No. 10240266). Available from ProQuest Dissertations & Theses Global. (1834498174). Retrieved from http://search.proquest.com.ezp.waldenulibrary.org/docview/1834498174?accountid=14872

Scope

This dissertation examines how economic development and social transformation deficiencies in Benue state, Nigeria are caused by lack of water or inadequate water supply.

Purpose

The study conducts a quantitative, non-experimental and cross-sectional research to gauge of the lack of portable water availability in Benue state and its socioeconomic development impacts thereof.

Philosophical Approach

The researcher adopted a quantitative, non-experimental and cross-sectional approach in the study because it is best suited to examine the complex relationships and correlations that exist between variables. This approach is also more practical when conducting research on rural community settings where decision-making agencies are involved.

Underlying Assumptions

One of the paper’s underlying assumption is that the lack of portable water availability is directly linked to other variables. In addition, the paper’s second assumption is that the direct link between other variables and lack of potable water availability has significant impacts on Benue’s economic development and social change.

Research

The researcher adopted survey-sampling methodology, where participants, were interviewed in lieu of the impacts of lack of potable water or its inadequacy on their economic and social development.

Limitations

The researcher indicated that paper’s limitation is the lack of political will in Benue state to implement the findings of the study. According the researcher this lack of political will undermines the implementation of policies that seek to enhance social-economic development in Benue state.

Opportunities for further inquiry

The researcher indicated that there is need for further research on other areas that have the potential to serve as great opportunities to develop and improve Benue’s subsector services.

Validity of use

This dissertation was essential as it illustrated how lack of portable water availability has impacted Benue’s economic and social development.

Madsen, T. (2014). Evaluation of a leadership program’s impact on participants and civic engagement (Order No. 3640165). Available from ProQuest Dissertations & Theses Global. (1619572076). Retrieved from http://search.proquest.com.ezp.waldenulibrary.org/docview/1619572076?accountid=14872

Scope

The dissertation explores how leadership programs have impacted the participants civic engagement in the US.

Purpose

The purpose of the study was to evaluate and address the gap in the program assessment to effectively determine how it has impacted the participant’s civic engagement.

Philosophical Approach

The researcher adopted a mixed-method approach which focuses on increasing a leader’s capacity and to enable one to connect with the participants in a way that there is equitable sharing of resources and effect full change implementation.

Underlying Assumptions

The study contained several assumptions. The first underlying assumption in the study was that it was hoped that the responses given by the participants was honest and accurate. The second underlying assumption was that survey conducted in the research provided relevant data that addressed all the research questions.

Research

The researcher used summative program evaluation based on Community Leadership Survey that was sent to the program’s association comprising of 448 graduates from 2003 to 2012 which had a total yield of 155 surveys.

Limitations

The first limitation of the study was the inability of the programs curriculum design to reveal the long-term impacts on the graduates and the ability to achieve the program objectives. The second limitation was the lack of adequate resources, which hampered the ability to conduct an internal summative evaluation of the program. The third limitation was lack of adequate financial resources to contract external researchers.

Opportunities for further inquiry

The study illustrated that the local MWCLP and alumni association are the primary stakeholders who have an opportunity to address the gap between in the achieving the program objectives and decision-making authorities.

Validity of use

The study showed how program assessment impacted the participants engagement in civic duties.

Owusu-Achiaw, K. (2013). The effect of community participation on affordable housing: A study of a housing program in a borough of New York City (Order No. 3565621). Available from ProQuest Dissertations & Theses Global. (1415457665). Retrieved from http://search.proquest.com.ezp.waldenulibrary.org/docview/1415457665?accountid=14872

Scope

The research explores how community participation in reference formulating affordable housing.

Purpose

The objective of this study was to examine how effective community participation via exploration of particular program in the US leads to affordable housing.

Philosophical Approach

The study employed community participation approach in reference to provision of affordable housing programs. The approach provides sustainable education and outreach programs to the public on the best ways and practices of having affordable housing.

Underlying Assumptions

The first underlying researcher’s assumption is that the selected participants in the study provided accurate and forthcoming responses in reference to the interview questions on the participants’ experience and knowledge in affordable housing. The second assumption was that the participants’ experiences were instrumental in helping them express their perceptions on community participation. The third assumption was that the participants voluntarily responded to interview questions.

Research

The researcher used semi structured interviews where open-ended questions were posed to the participants and used to collect lived experiences.

Limitations

(1). There was small sample used of the original population due to the participant’s financial and time constraints. (2) The views and responses expressed by the participants may not accurately reflect those of the selected community. (3) The research methodology used was inherently limited.

Opportunities for further inquiry

The research deducted that if community members played a leading role, there would be positive social change in reference to affordable housing. In addition, if extensive education is conducted, community members can be able to use their abilities to take effective measures to promote positive social change.

Validity of use

The study indicates that it is imperative for community members to have positive social change to address their housing needs.

Engelbright, C. L. (2015). Planning for a community supported farmers market in a rural USDA food desert (Order No. 3707617). Available from ProQuest Dissertations & Theses Global. (1696319272). Retrieved from http://search.proquest.com.ezp.waldenulibrary.org/docview/1696319272?accountid=14872

Scope

The study seeks to develop community initiative to illustrate how it can effectively address the inadequate access to fruits and vegetables to persons living in USDA designated food desert.

Purpose

The study’s purpose is to develop and plan for implementation and evaluation of farmers who are supported by the community, residing in South Wood County to ensure that the farmers’ access to fruits and vegetables is increased.

Philosophical Approach

The researcher conducted the study based on three approaches. (1) Assembling interdisciplinary project team comprising of community stakeholders. (2) Use of literature review on the best practices to have a sustainable farmers’ market. (3) Creation of a development plan to review literature used in the study.

Underlying Assumptions

(1) Produce prices will reduce in the farmer’s market when compared to the local retail outlet. (2) Implementing local and sustainable food system will increase the access to fresh produce and at the same time increase the community health.

Research

The researcher adopted survey-sampling methodology, where participants, were interviewed on the experiences on lack of affordable and fresh fruits and vegetables.

Limitations

(1) There was limited community resident participation. (2) The town hall meeting used to conduct the meeting was small. (3) Bad weather conditions hampered travelling to conduct interviews and attend meetings. (4) The town hall meetings coincided with a large sporting event, which significantly reduced the level of attendance.

Opportunities for further inquiry

If there is a liaison between the community and other government authorities, the cost of fresh produce can significantly reduce and make it affordable and accessible.

Validity of use

The study was instrumental in seeking ways in which fresh produce can be made accessible and affordable.

Amabipi, A. K. (2016). Understanding host community distrust and violence against oil companies in Nigeria (Doctoral dissertation, Walden University).Retrieved from http://search.proquest.com.ezp.waldenulibrary.org/docview/1619572076?accountid=14872

Scope

The study explores the reasons behind community distrust and violence against oil companies in Nigeria via use interviews.

Purpose

The study seeks to gather comprehensive and contextual account of the causes of the said distrust and violence in addition to examining various elements that can be used to address the causes.

Philosophical Approach

The researcher uses sampling and survey approach to determine the root causes of distrust and violence that is experienced by oil companies in Nigeria.

Underlying Assumptions

Experiences of distrust and violence netted on oil companies will be communicated freely. (2) Authorities cannot control the distrust and violence on oil companies. (3) The experiences are not similar in all geographical areas. (4) Data collected is based on accurate responses. (6) Data collected is a representation of the host communities. (7) Study findings will provide peaceful management strategies. (8) Elements of social change spread from the affected villages to other communities. (9) Case study will portray the accurate story in reference to the host community and oil companies.

Research

The researcher used interviews to ascertain the root causes of community distrust and violence on oil companies.

Limitations

(1) The terrain impended access to various geographical locations. (2) Participants not giving accurate information. (3) Residents not willing to be interviewed.

Opportunities for further inquiry

The researcher deducted that if there is more transparency and coordination by the oil companies and the respective communities, the distrust would significantly reduce and the violence. Thus the researcher was of the view that there needs to be more studies to achieve this management practices.

Validity of use

The research was instrumental in determining the possible root causes of the said distrust and violence and the possible solutions.

Evaluation

of Sustainability in Development Projects Utilizing

Renewable Energy Products in Zimbabwe

by

Barlas Demirciler

A Thesis Presented in Partial Fulfillment

of the Requirements for the Degree

Master of Science

Approved July 2014 by the

Graduate Supervisory Committee:

Mary Jane Parmentier, Chair

Gary Grossman

Arnold Maltz

ARIZONA STATE UNIVERSITY

August 2014

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UMI 1568035
Published by ProQuest LLC (2014). Copyright in the Dissertation held by the Author.

UMI Number: 1568035

i

ABSTRACT

The problem concerning the access to energy has become an increasingly acute

matter of concern in low-income areas. Currently an estimated 1.2 billion people don’t

have access to energy (IEA, 2014). Following the declaration of 2012 as “The

International Year of Sustainable Energy for All” by the United Nations General

Assembly (UNDP, 2014), this alarming situation of energy poverty has resulted in the

creation of new partnerships between governments, NGOs (Non-Governmental

Organization), and large multi-national corporations.

This study is focused on the evaluation of sustainability of a development project

in Gutu, Zimbabwe that is initiated by Schneider Electric Corporation’s BipBop Program.

This program aims to provide access to energy via photo-voltaic cells and battery kits for

daily use. It is expected that this project will have a high impact on sustainable

development, and creation of value, which in turn is expected to allow participation in

global supply chains.

The results gathered from the analysis show that the development project to be

piloted in Gutu, Zimbabwe is likely to have a “high impact on sustainability”. The project

is therefore considered an effective sustainable development project that aims to promote,

and develop local Zimbabwean markets through increased transactions and the creation

of sustainable supply chains that are expected to recruit Zimbabwe into the global value

chains.

ii

ACKNOWLEDGEMENTS

This work is the result of a short trip to Zimbabwe in June, 2013 where I had the

opportunity to volunteer as an engineer at SNV (Netherlands Development Organization)

and participate in the initial studies and training sessions Schneider Electric held in

Zimbabwe.

None of this would have been possible without the endless support and devotion

of my family. I would like to extend my deepest gratitude to my parents, Kemal and Jale

Demirciler, and to my brother, Teoman Demirciler.

I am sincerely thankful to my thesis committee, chaired by Mary Jane Parmentier,

Ph.D. Dr. Parmentier’s encouragement and guidance throughout this work has been of

great value. Additionally, I would like to acknowledge Gary Grossman, Ph.D. who has

been such an inspiration throughout my graduate studies at Arizona State University.

Lastly, but certainly not the least, I would like to recognize Arnold Maltz, Ph.D. for

refining and enriching the ideas that are now the foundation of this study.

I would also like to express my thanks to Erik Boonstoppel from SNV, (Harare,

Zimbabwe), and John Graham from Schneider Electric Corporation, (Grenoble, France).

Finally, I would like to devote this work to my late classmate and beloved friend,

Antuan Erol Nofal, B.S.E.

iii

TABLE OF CONTENTS

Page

LIST OF TABLES ……………………………………………………………………………………………………. iv

LIST OF FIGURES …………………………………………………………………………………………………… v

INTRODUCTION …………………………………………………………………………………………………….

1

LITERATURE REVIEW …………………………………………………………………………………………

11

METHODOLOGY …………………………………………………………………………………………………. 3

2

DATA ANALYSIS. ………………………………………………………………………………………………….

50

CONCLUSION ……………………………………………………………………………………………………….. 5

9

REFERENCES……………………………………………………………………………………………………….. 6

5

APPENDIX

A TECHNICAL SPECIFICATIONS OF IN-DIYA PV LED KIT…………………………71

i

v

LIST OF TABLES

Table Page

1. The Sustainable Development Project-Evaluation Matrix ………………………….. 4

7

2. Impact Scale for Determining the Effect of the Project ………………………………

49

3. The Assessment of the BipBop Project, Evaluation Matrix ………………………… 54

v

LIST OF FIGURES

Figure Page

1. World Map, Zimbabwe highlighted ……………………………………………………

12

2. Sustainable Development, an Interdisciplinary Approach …………………….

37

3. Project Life-Cycle Steps ……………………………………………………………………

40

4. Modified Project Life-Cycle Stages ……………………………………………………

42

5. Seven Districts of Masvingo Province, Gutu (in blue), 2006 ………………..

51

6. Solar Parabolic Heat Dish, Gutu, Zimbabwe. 2013 ……………………………..

52

7. The In-Diya Photo-Voltaic (PV) Kit LED and Battery Kit ………………….. 71

1

INTRODUCTION

Purpose of Study

The purpose of this study is to evaluate a development project with respect to

sustainability and ascertain the impact it has on sustainable development. This

interpretation is critical as the illustrated results enable a broader understanding of the

outcomes. This study will target the case of a development project in Zimbabwe, initiated

by a French based energy company, Schneider Electric, which aims to foster

development within rural communities by providing access to energy that is harnessed

through a photo-voltaic kit, and stored in batteries. This initiative, under the company’s

BipBop (Business, Innovation, and People at the Bottom of the Pyramid) program has

extended its reach to Zimbabwe and “aims to promote access to reliable, affordable, and

clean energy to the people who need it the most” (Desroches & Andre 2012). This work

aims to provide a connection between development studies and sustainability literature

that will enable a diverse approach for assessing existing studies.

Objectives

This work seeks to investigate the sustainability level of renewable-energy-related

sustainable development projects. Consequently, it also encompasses the impact access to

energy has on sustainable development, as well as rural Zimbabweans. This development

project is geared towards providing access to energy in low-income areas in Sub-Saharan

Africa, and has a vision of transforming rural Zimbabwean villages into independently

2

functioning local markets that will eventually interact with other markets around the

globe through active participation in global value chains.

The Problem

The theory of sustainable development is widely accepted since its first definition

in the Brundtland Report, which defines it as “meeting the needs of the present without

compromising the ability of future generations to meet their needs.” (WCED, 1987). It

consists of three pillars; sustainability is considered to include the social, environmental,

and economic pillars.

The approaches for measuring sustainable development however, raise numerous

questions as there isn’t a consensus, or guideline to follow for evaluating the

environmental impact of an operational activity (Labuschagne and Brent, 2005). And

although the economic pillar could be measured, and ascribed a value, via income levels,

the social pillar creates further complications: “there is little agreement on which criteria

should be considered for social performances [since] evaluations and methodologies are

currently not practical for industry applications and business practices” (Labuschagne and

Brent, 2005). This requires the development of a method that ensures a contribution to

the efforts in sustainable development (Warhurst, 2002). An inclusive framework that

assesses the sustainability level of a development project during the initial life cycle

stages, is required to arrive at a definitive evaluation of the impact on sustainable

development of such projects (Labuschagne and Brent, 2005).

3

Therefore, this work is focused on the problem of measuring the impact on

sustainable development of a development project during its initial stage. Furthermore,

this work seeks to examine the impact of Schneider Electric’s initiative and the effect it

has on empowering rural Zimbabweans. This study also incorporates the impact the

project has on the creation of value, which will enable the inclusion of developing

countries and open their horizons to international markets. The set of objectives will be

accomplished by analyzing the results obtained from an evaluation matrix, assessing the

sustainability factors with respect to the phase of the development project. The analysis

will be based on my experience as a volunteer in Zimbabwe where I had the opportunity

to be directly involved in the training for Schneider Electric’s Photovoltaic-kits.

Significance of Access to Energy

Access to safe and reliable energy is described as a key ingredient for

development; it virtually supports all the components of human survival, and is labeled as

a critical enabler for social and economic growth. (Brew-Hammond & Crole-Rees, 2004).

Moreover, the issue surrounding energy poverty is also considered a major concern for

sustainable development (Ailawadi & Bhattacharyya, 2006).

In developing countries, securing access to reliable energy services is a crucial

step to ensure economic prosperity and improve health conditions. “This is because it is

essential for the provision of clean water, sanitation and healthcare, and provides great

benefits to development through the provision of reliable and efficient lighting, heating,

cooking, mechanical power, transport and telecommunication services” (Olejarnik,

4

2010). In essence, access to energy enhances the life of the poor through the

aforementioned services. This enhancement is possible by; the extension of working

hours through lighting, operation of electrical equipment for refrigeration, and irrigation.

More importantly, access to reliable energy can directly impact the alleviation of poverty

through value creation and trade (Pereira, Freitas, & da Silva, 2010).

Background

It is particularly challenging to coin a definition for development, but it has

generally been accepted to be a progression towards improvement, and shifts a nation to a

more desirable state. In the early 1900s the favorable path to a developed state was often

considered to be purely of economic development, reflecting a nation’s industrial output

and export volumes. This highly robust movement neglected basic environmental factors.

Pollution was one of the most serious problems encountered throughout the industrial

years of the European continent, where many have accounted the severity of the air

quality. In Great Britain’s case: “London’s sky would surrender to an ominous layer of

smog which would settle for days and cost the lives of hundreds.” (Bell, Davis &

Fletcher, 2004).

This new trend in automated mass-manufacturing, initiated with the industrial

revolution, was fueled by aggressive desire for economic growth and prosperity.

However, a key point, and an essential ingredient for such a destined productive future

can only be achieved if the development model can be applicable in the future as well; a

5

development model that ensures the socio-ecological and socio-economic continuity of

the Earth.

This revolutionary period, triggering the consolidation of a fundamentally

capitalistic structure, followed by the development of modern sciences, disregarded the

consequences of the industrial revolution movement (Hopwood, Meller, & O’Brein,

2005). After all, the objectified economic growth was accepted as an increase in

production capacity and rising yields (Douthwaite, 1992). In turn, it was assumed that

this model would transform the life of the poor, as society would be raised to the next

level (Hopwood et al., 2005). Although the idea was essentially flawed and utopic in its

nature, it gives a better understanding of the ideology of that period which fueled the rise

of industrialism, and the completely unmindful state to the unintended consequences of

pollution.

Toxic plumes rising from industrial towers greatly altered the ecological cycle,

and its effects are still present: An article assessing the volumes of Carbon emissions

from 1751 (beginning of industrial revolution) to 1949 (height of industrialization in

Europe and the U.S) show an increase from approximately 3 million to 61 billion metric

tons of carbon. This is roughly equivalent to a staggering 600 million per cent change.

(Anders et al., 1999). Studies, like that of Anders et al. (1999), have evoked broader

questions and highlighted the importance of sustainable development. This growing

concern regarding the environment and the natural habitats, have been a major eye-

opener for other experts and academicians.

6

The term “Sustainable Development” made its first public appearance in the

Brundtland Report published in 1987 where it was defined as “meeting the needs of the

present without compromising the ability of future generations to meet their needs.”

(WCED, 1987). Since then, the notion of sustainable development has been open to

debate and an exact definition has been subject to much speculation. Its popularity today

can also be attributed directly to the “…growing awareness of the global links between

mounting environmental problems, socio-economic issues to do with poverty and

inequality and concerns about a healthy future for humanity. It strongly links

environmental and socio-economic issues.” (Hoopwood et al., 2005).

The Brundtland Report clearly emphasizes the importance of the ecological

sphere and makes recommendations on the interaction of socio-ecological and socio-

economic issues for future practices. “This report led directly to the term ‘sustainable

development’ passing into policy discourse, if not into everyday language.” (Redclift,

2005). Redclift (2005) highlights that the Brundtland Report was the first written

document to link the socio-economic and socio-political aspects of development from an

environmental perspective. Hopwood et al. on the other hand, stress the vitality of the

environment and claim that the present and the future all mankind depend on the

continuity of the ecological system for security and basic needs (Hoopwood et al., 2005).

Furthermore, the Brundtland Report mentions the issue of attending to the global

problem on poverty, protecting the ecological systems and achieving economic growth.

Hopwood et al (2005) state that the looseness of the concept and its theoretical

underpinnings have enabled the use of the phrases such as “Sustainable Development”

7

and “Sustainability” to become de rigueur for politicians and business leaders. This

underlying gap in the vague definition paves the way for businesses and governments to

ever expand, whilst justifying their efforts as a support for “Sustainable Growth.” Dollar

and Kraay (2002) for example, argue that economic growth will eradicate poverty similar

to Douthwaite’s (1992) assessment of growth during the industrial revolution.

It is common to say that the “Sustainable Development” path is a necessary policy

for nations to ensure the permanence of the planet, however there is a fundamental aspect

and an important backbone that seems to be missing in the broad definition. And that is a

mutually agreeable definition to the terms; “Sustainable Development”, and “Sustainable

Growth” from all angles of disciplines. Daly (1993) famously criticized the term

“Sustainable Growth” as an oxymoronic idea in a setting where all ecosystems are finite.

According to Daly, the definition of “Sustainable Development” lies with more

qualitative justifications and advancements rather than quantitative ones like the

Brundtland Report suggests.

In essence, adding the term “Sustainability” in front of “Development” made it

almost impossible to announce a coined definition. For the purpose of clarification, this

study uses the phrase “Sustainable Development” to describe a developmental model that

seeks to mitigate the harmful effects of development on society and the environment,

whilst aiming to mitigate poverty. This leads to the question: How can underdeveloped

nations even afford, let alone transition, to a path of “Sustainable Development”?

The classic literature shows that there are quite a number of different ideas on

growth and much of the material has been written on, or relating to development theory;

8

economic growth models like the Harrod-Domar Model that relate the level of savings

and the capital output ratio of a nation, theories such as the modernization theory that

attempt to explain the modernization phenomenon and how economic prosperity can be

achieved, and other philosophical works linking development as a means for freedom

(Sen, 1999).

Perhaps the last two, modernization theory and human development are the most

controversial and conflicting theories, especially in the case of Sub-Saharan Africa

(SSA), a region, consisting of relatively young African nations that have severely been

exploited through colonial powers in the past, and are currently implementing effective

growth models while battling epidemics, famines, violence, migration, and political

inequalities (Ranger, 2004). Such is the case of Zimbabwe, a relatively young nation

located on the southern region of Africa. Experiencing a very similar history to the

aforementioned fate of SSA, Zimbabwe is struggling with many problems that oppose

and greatly risk the future generations of the nation. Currently one of the poorest nations

in the world, with a GDP per capita of $837 and an HDI rank of 173 (World Bank, 2012),

Zimbabwe is primarily supported by aid and greatly lacks in infrastructure and

development despite the mineral and underground wealth. This places Zimbabwe at a

focal point for developmental initiatives.

However, the most important impediment to development in Zimbabwe, in

addition to those mentioned already, is the problem of access to energy. Although not a

shortcut to prosperity and growth, energy is a necessary instrument that has to be utilized.

Virtually all tasks carried out in manufacturing use electrical automation; it is almost

9

impossible to conceive a production line that doesn’t require energy. As much as its

importance in the industrial segment, access to energy is also a crucial indicator of a

region’s energy poverty. Just like the dependency in automated manufacturing, energy is

also indispensable when it comes to domestic use; endless tasks that range from lighting

to refrigerating that greatly impact quality of life.

Promoting access to energy has become an increasingly acute matter of concern

for governments and NGOs in low-income areas. Currently an estimated 1.2 billion

people don’t have access to energy (IEA, 2014). The United Nations General Assembly,

recognizing these alarming situations in global access to energy, declared 2012

The International Year of Sustainable Energy for All (UNDP, 2014).

A decade ago, the rate of access to electricity in region of SSA was 17% which is

noted to be the worst and lowest rate in the world, however, a worse picture is drawn for

rural areas as the rate drops down to a staggering 5% (Davidson & Mwakasonda, 2004).

This alarming rate of access to energy, extreme poverty, epidemics, and various other

developmental concerns has attracted many international NGOs to take action in

Zimbabwe. This network of NGOs and NPOs have aided in numerous humanitarian

projects and in June, 2013 have established a partnership with Schneider Electric aimed

to eradicate the problem of access to energy. Recruiting the French based energy

management giant with a market cap of $ 42.16 Billion across the globe, Schneider

Electric joined forces with SNV – Zimbabwe (Netherlands Development Organization),

Practical Action – Zimbabwe (A UK based development charity), Oxfam – Zimbabwe

(Another UK based international organization) and Samansco (A Zimbabwe based

10

Renewable Energy Company) to aid in the development efforts taken by the Zimbabwean

government and NGOs.

In order to assess the effectiveness of the BipBop Program in Zimbabwe, and

understand how it contributes to sustainable development, the three pillars of

sustainability (economic, environmental, and social) have to be measured and analyzed

according to the project stage. This requirement calls for an evaluation matrix that will

enable the assessment of each of the three pillars. The results will then help in evaluating

how effective the BipBop Program in Zimbabwe is.

This work also seeks to ascertain how Zimbabwe can develop utilizing the

BipBop Program’s sustainable development project. What is the significance of access to

energy in low-income areas? How can nations like Zimbabwe prosper without the drastic

effects of industrialization? Or is sustainable development a feasible path? How does

sustainable development link with global value chains? And finally, can a multi-national

energy-management company accomplish something that has been subject to much

speculation and public scrutiny? Can Schneider Electric Corporation lay the corner stones

of a practicable sustainable development agenda for Zimbabwe, and aid in current

development initiatives carried out by both foreign, and local development agencies

aimed at fostering economic growth with the creation of value? How can Zimbabwe

utilize its resources and exploit them to its full potential whilst empowering the

unemployed, and buy into the global value chains? Can Zimbabwe utilize this program

and utilize the power of automation to create value and shift its place in the world. These

are some of the questions this paper will attempt to answer.

11

LITERATURE REVIEW

Historical Overview of Zimbabwe

South of the Sub-Saharan Region of Africa, lies the “Jewel of Africa” as coined

by Leander Starr Jameson in the late 19th century, one of the first British colonizers along

with Cecil John Rhodes as they took a short trip over the Zambezi River to discover the

beauty and resources the nature had to offer. Unfortunately today, one would have a hard

time describing Zimbabwe using the same expressions. The colonial period, extraction of

its natural resources, mass migrations, violence, and much bloodshed has left the state

with nothing more than a weak economy and an unstable democracy.

It was in 1889 when the British South Africa Company, chartered by Queen

Victoria of the United Kingdom first gained control of what is Zimbabwe today. Under

the leadership of Cecil Rhodes and the power constituted by the charter, trained armed

forces of the company, the Pioneer Column, marched north to acquire and control

Mashonaland, which is home to largest ethnic group in Zimbabwe today, the Shona.

Rhodes was eager and determined to gain full control of the region and engaged in

several conflicts with the Ndebele and the Shona Tribes. After several battles in various

scales, within the Matabeleland and Mashonaland, the Pioneer Column (British forces

raised by Rhodes) decisively defeated the indigenous armies of the Ndebele and Shona

and established their authority within the Region (Ranger, 2004). After their victory, the

Company controlled the lands that now make up Zambia and Zimbabwe. This newly

acquired territory, under the British and led by Rhodes, was called the Chartered territory

12

of the British South Africa Company until creation of The Federation of Rhodesia and

Nyasaland, also referred to as the Central African Federation, which was a semi-

independent state in southern Africa from 1953 to the end of 1963. Following the split of

Northern and Southern Rhodesia, as Zambia and Zimbabwe respectively in present time,

Southern Rhodesia was simply known as the Republic of Rhodesia until 1979 led by

Premier, Ian Smith. A transitionary reconstitution, which created the state of Zimbabwe-

Rhodesia led by the majority rule, finally laid the path for the Republic of Zimbabwe that

was recognized as of April 18, 1980.

Figure 1. World Map, Zimbabwe highlighted.

13

Since independence, Zimbabwe has experienced continued violence and political

tension and turmoil. The controversial issue of land-reforms has attracted much attention

by the global press, where massive quantities of farm lands, which mainly belonged to

White Zimbabweans, have been seized violently and handed over to the politically

empowered or the internally connected (Richardson, 2004). Following these incidents,

the stagnant but instable economy virtually went downhill. Also fueled by other factors,

such as unemployment and fraudulent government spending (Games, 2010), the

Zimbabwean currency horrifically experienced hyper-inflation and resulted in the

replacement of the currency with the U.S Dollar in late 2009. This imbalance drastically

hit the poor and made matters worse. Zimbabwe was now one of the poorest nations in

the world with a GDP per capita of $837 and an HDI rank of 173 (World Bank, 2012)

and is majorly supported by aid.

Foreign Aid & Attempts for Growth

Presently, despite the aid that have been given to the region of SSA so far,

Zimbabwe is still struggling to advance as a society and develop a healthy, stable

economy. There are two scholars that have particularly focused on the issue of aid to the

region: Jeffrey Sachs and William Easterly. An intermediate perspective to the ever-

battling views of Sachs and Easterly of “Planners” versus “Searchers,” in the context of

economic development in Africa, is proposed by Paul Collier. Like Sachs, Collier

believes the western foreign aid and technical assistance with infrastructure is an

important means to mitigate poverty in low-income and poor regions. However, like

14

Easterly, he questions the usefulness of foreign aid, and stresses the importance of proper

accounting and monitoring of funds. Explicitly denoting both of these stances, Collier

dismisses what Sachs calls optimism regarding the financial aid, and the skepticism of

Easterly regarding external contributions of searchers. He further continues his analysis

into different sections where one is focused specifically on “traps”.

One trap Collier describes is bad governance. Although there are varying accounts

that policies placed by the government have a substantial effect on growth, there are

surely other vital dynamics that are greatly affected and eventually altered by poor

governance; corruption undermines markets, institutions and most importantly: public

trust. These all weaken social structure and civil society (Collier & Goderis, 2009).

Furthermore they can cause a fragile setting for a government that is bound to fail to

provide security for its people and ensure development of the nation. This trap Collier

describes perfectly relates to the case of Zimbabwe where corruption levels have steadily

increased. Many developmental projects and foreign aid have been misplaced or ended

up in offshore accounts (Makumbe, 1994). Furthermore, many of the laws and reforms

that have taken place since independence have been heavily scrutinized and referred to as

controversial by many authorities (Games, 2010). One of these restructurings in the

constitution is Zimbabwe’s notoriously known land reform policy that has steadily paved

the way for shortage of agricultural produce (Richardson, 2013 & Games, 2010).

Another important deficiency in the case of Zimbabwe is the shortage of electrical

energy. In the politically corrupt and bankrupt nation many rural towns and villages are

not connected to the national electric grid due to limitations in infrastructure and

15

available funding. According to the information obtained from the CIA (Central

Intelligence Agency) Database regarding the electricity production in Zimbabwe,

Zimbabwean Electricity Supply Authority (ZESA) – the official state-owned utility

company that is responsible for the production and distribution of electricity – the nation

produced an estimated 7.81 billion kWh in 2010 while the demand was approximately at

12.57 billion kWh (CIA, 2014). This inability to meet the demand results in persistent

outages that greatly hinders the ability for automated mass manufacturing and thus

greatly hinders the creation of value.

Zimbabwe and Schneider Electric

Schneider Electric is one of the few utility companies that have shown

considerable interest in aiding in developing the underdeveloped world. Aiding, not in the

conventional sense of financial arrangement; loans, or grants, but, aid in the sense of

mentoring, teaching, and improving the growth of knowledge that is aimed at spurring a

market that is able to sustain and self-perpetuate upon careful guidance and initiation.

The African continent, considered the youngest and the fastest growing continent

in recent times, is developing economically: During the “Africa in the World Economy”

panel in 2012 Donald Kaberuka, the President of the African Development Bank, has

stated that Africa has had an excellent decade in terms of economic growth and poverty

reduction, which he also considers to be the best in fifty years (Brende, 2012). However,

Kaberuka argues that one should not confuse economic growth with economic

transformation. He further states that the structures of Africa’s economies are not

16

evolving in an adequate sense and the continent is still commodity dependent and thus

vulnerable to external shocks in global economy (Brende, 2012).

Presently, some of Zimbabwe’s biggest concerns are the problems and challenges

rural towns and villages are facing. Many Zimbabwean communities that are bordering

the neighboring countries have no access to electricity. The Gutu District, lying on the

southern skirts of Zimbabwe, is a small district comprising of just 198,000 in 2002

(Hamandawana, Nkambwe, Chanda, & Eckardt, 2005). Due to the lack of infrastructure

and power, schools, clinics and hospitals operate on a shoestring budget. Without any

other option, most of these funds are allocated to candles and lanterns. Children are

forced to study with candlelight, while women going into labor are forced to give birth

using the light from cell phone screens. In a state of despair, members of these

communities are awaiting a change.

In response to this despair, the Zimbabwean government founded the Rural

Electrification Fund (REF) in 2002. This was the initial step in devising solutions for

these villages. This, in turn led to the creation of the Rural Electrification Agency (REA),

whose mission was to extend the electric grid to villages and towns that are in need

(Mapako & Prasad,

2007).

The Zimbabwean government recognizes the fact that rural electrification is a

major pillar in improving socio-economic development in communities. In this aspect,

the Rural Electrification Agency has accomplished more than 5000 rural projects that are

comprised of institutions, farms, villages, boreholes, dam points and irrigation schemes

electrified to date (Mapako & Prasad, 2007).

17

However, in a rapidly growing society and an emerging market like Africa,

Zimbabwe must ascertain swifter solutions that are both: effective and sustainable.

Extending the electrical grid to areas of high impact, such as irrigation schemes, schools,

hospitals and clinics is absolutely necessary. Nonetheless, the costs determined for such

projects are considerably high without any control over development (Mapako & Prasad,

2007).

Schneider Electric’s BipBop program – “which aims to promote access to reliable,

affordable, and clean energy to the people who need it the most.” (Desroches & Andre

2012) – Recently extended its vision over to Zimbabwe in the summer of 2013. Schneider

Electric, a French giant in the energy industry, has plenty of experience developing and

implementing this project. They have launched these projects in South America, Asia,

and some countries in Western Africa. Schneider Electric aims to provide sustainable

solutions via photovoltaic cells, attached to a battery charging kit, batteries and an LED

lamp. This operation is initiated by Schneider Electric, but run by local community

members that are the entrepreneurs that start their businesses of renting batteries and

LED (Light Emitting Diode) lamps. This cycle will in turn create businesses within local

communities and spur a self-sustaining market (Desroches & Andre 2012).

Though there are no initial figures that reflect the performance in Zimbabwe,

Schneider has been quite successful with its BipBop project in other remote parts of the

world like India, and Peru. A similar projection is made for Zimbabwe: Following is an

excerpt of the paper by Desroches and Andre (2012) that shows the economic success of

the BipBop program implemented in India:

18

As of end of March 2012, 57 entrepreneurs created their business of

lighting system distribution and battery rental. Their average revenue is 2

500 to 3000 INR (35 to 43 €) per month. Each entrepreneur has an average

of 9 customers, thus reaching up to 530 people who now have access to

highly energy-efficient lighting systems. (Desroches & Andre, 2012)

Schneider’s initiative in the area will undoubtedly aid in efforts put forward by

current NGOs and development agencies, and other important actors in the major

intervention efforts. According to the research by Desroches & Andre (2012), providing a

quick and easy solution like this will positively impact the communities. An important

question to ask is: How this project will impact the growth of local entrepreneurs in

Zimbabwe? It is expected that a technologically aware generation will arise, that will aid

in their own communities’ efforts.

Desroches and Andre’s study (2012) utilizes the “Sustainable Livelihoods”

framework and places a strong emphasis to assess the impact access to energy has to the

poor in rural villages and towns in India. Initially, it is expected that this access will

directly lead to extended hours of operations at community centers, markets, and clinics.

During the project cycle, the extended store hours led to a rise in transactions and high

rate of exchange in the marketplace. According to the study and literature review

conducted by Desroches and Andre (2012), this trend will result in an economic cycle

that will gradually attract local entrepreneurs that will create their own products, thus

19

creating a value stream network and a value chain that Porter defines as a key element for

competitive strategy (Porter, 2000).

Creating such a chain is invaluable to low-income nations. In order to promote

economic prosperity, it is equally crucial to export the manufactures and products to other

countries. It is only through the utilization of international trade that low-income

countries like Zimbabwe will receive recognition and attract large corporations for

certain businesses and increase export figures. For the case of Zimbabwe, this could be

made possible through the “Global Value Chains” (GVC) where larger multi-national

corporations shift a portion of their manufacturing processes to low-income areas to

benefit from low production costs, and in turn have a positive impact on development.

The Global Value Chains

It is important to scrutinize the global value chain. Developing nations that

support their economies by international trade cannot perform to their fullest potential,

mainly due to the lack of infrastructure, and poor marketing decisions. These countries,

often unable to achieve strategically favorable market positions, enter certain areas as

suppliers for giant companies or conglomerates. This outsourcing of manufacturing

creates a value that flows to the other spectrum of consumers i.e. the developing world. It

is through this flow that developing countries can participate in a global trend that

otherwise would be unavailable. From a macro perspective, it seems economically

beneficial for both the suppliers (developing nations) and the buyers (the developed

20

nations). GVC research concentrates on understanding the interactions of these business

transactions and their potential impacts on development.

Humphrey and Schmitz (2008) analyze the impact of governance in global value

chains in their study and prove that the global value chain has a direct effect on

developing economies. They portray the example of a UK company, Tesco’s, influence

on the production of mange tout (snap pea) in Zimbabwe. Tesco had immense influence

in operations thus taking the fate of an underdeveloped country in their hands. Humphrey

and Schmitz (2008) then go on explaining the importance of governance in a GVC.

There are a number of issues and complications that arise in an international

global value chain. Trading barriers and related complications are some of the usual

difficulties underdeveloped countries face with exporting. Developed countries may clear

trading barriers, but it is ultimately up to the lead firms or buyers in that chain that

determine the fate of the trade. This uncertainty is overcome by the domination of the

lead firm’s demands and requests, as was the case in Zimbabwe with the British Tesco.

Buyers specify requirements to suppliers to alleviate the gap in quality and since

the specifications of the supplier’s market are inferior to the large-scale, advanced market

of the developed world, companies that impose such requirements are referred to as

“lead” in GVCs. Other concerns for the lead firms are the conditions of the

manufacturing and production capabilities in the developing world. The authors assert

that specifications in quality and efficiency are direct factors that play a role in

transformation of developing countries into mass-manufacturing hubs. The authors cite

the examples Brazil and Vietnam that underwent such a change and are now major export

21

manufacturers in the clothing and apparel industry. Humphrey and Schmitz (2008)

emphasize the importance of guidance and high demands set by the lead firms: “It is

[this] combination of high challenge and high support that is often found in the highly

governed chains and that explains how relatively underdeveloped regions become major

export producers in a short period of time” (Humphrey and Schmitz, 2008).

However, it is also stated that the tangible side of the spectrum in manufacturing

does reap low profits and gains, while the intangible; often times involving the research

and design, and marketing segments demand high credentials for entry and a solid

position in the market. The authors raise the question of whether or not a fair gain is

attainable with such a distribution system. Another point that is made on the importance

of governance in GVC is the volume of activity that has attracted governments. They

hold a strong position in governance and play an important role in raising ethical trade

standards. They further add by stating that the global chain governance is the foundation

for the ethical trade initiative the UK government initiated.

Governance of GVC also ties to development. Humphrey and Schmitz label the

link as a “funnel for technical assistance.” Contrary to the direct foreign investment form

of aid, this connection provides the more tangible form of support, offering technical

assistance.

Multilateral and bilateral donor agencies have for decades sought to find

ways of providing effective technical assistance to developing-country

producers. Progress was at best modest. Recently these agencies have

22

embarked on experiments of fostering TNC [Transnational Corporation] –

SME [Small and Medium Enterprise] partnerships. The central idea is to

combine technical assistance with connectivity. (Humphrey and Schmitz,

2008).

GVC, Zimbabwe, and Sustainability

With the case of Zimbabwe and the BipBop Program, Zimbabwe is projected to

participate in the GVCs initially through small-scale value added products. These

products can range from apparel to simple household utensils that are produced utilizing

the energy harnessed through the PV kits. These sustainable goods, produced using

renewable energy, can then be exported to various locations and help raise the average

income in Zimbabwe, and positively impact sustainable development. Orchestration of

such a value chain is proposed to begin with a lead firm reaching out to small and

medium sized suppliers in the developing world and mentoring them to attain firm

positions in the GVCs. With its sustainable production capabilities, Zimbabwe can attain

a strong position as a candidate for supplying certain goods and products across the

globe.

It is also recognized however, that the fierce competition will require rigorous

efforts to retain their positions. Ultimately, the suppliers are controlled by the buyers and

the hegemony within the chain is quite apparent. Such efforts to retain supplier positions

are applied through audits and have rigid criteria and harsh consequences that may

terminate future business relationships.

23

This leads to a troublesome interaction between the suppliers in the developing

world and the buyers, (the lead firms) in the GVC. Quality assurance is the principal risk

lead firms are concerned about. Humphrey and Schmitz (2008) argue that the quality

conformance may shift to a third party agent, outside the chain, thus making the chain in

less need of governance. Such an effort may be consolidated by development agencies to

aid in the infrastructure and technical assistance they already promote. The authors

conclude by acknowledging the success of recent producers that have conformed to the

buyer’s specifications and show a more promising future for forthcoming business

opportunities and forming manufacturing clusters. Thus it is possible to make a similar

projection for the case of Zimbabwe, given that the sustainable development initiatives

through Schneider’s BipBop Program succeeds.

Besides the high quality standards and foreign procedures manufacturers are

supposed to adhere to, there are other complications that arise in low-income countries

that desire to participate in GVCs with hopes of economic and social prosperity. Further

studies are conducted analyzing the role of low-income countries in GVCs. There are

other various factors that affect the performance in these countries, which may result in

dire consequences like, contract termination. This may, or may not be the case for

Zimbabwe as a low-income country in SSA, but certainly an important item to consider

for future plans.

24

Opportunities for smallholders from developing countries in GVC

The study conducted by Lutz (2012) points at the importance of Zimbabwe as a

developing country in global value chains. Whether it is for agricultural markets or light

industries, the aim is to showcase the vitality of supply chains and the impact it’s going to

have on Zimbabwe’s economy. Furthermore, it may create new opportunities for

employment and strengthen Zimbabwe’s position in the global value chains.

Lutz (2012) takes on the notion of “trading out of poverty” and assesses how it

relates to Africa, and its potential conflicts. The leading point that assures the

cohesiveness of the idea is the self-sustaining market. It has been mentioned that in order

to stimulate such a market, they ought to be functioning properly and far from corruption

and severe government interference. This is supported by the work of (Hayes, 2006)

where competitive equilibrium theory is used to show that welfare, and thus

socioeconomic development, can be improved through trade.

“Several NGOs stress the importance of fair trade as an instrument to replace

competitive forces and to provide better opportunities for producers in developing

countries” (Lutz, 2012). Lutz uses the definition of GVC as “the full range of activities

which are required to bring a product or service from conception through intermediate

phases of production, delivery to final consumers and final disposal after use.” (Lutz,

2012). In other words, GVCs allude to the creation of wealth, along with value. The

literature sited by Lutz suggests a growing interest in the integration of GVC and

developing countries, mainly on the opportunities for producers in the developing world.

25

With the creation of value and wealth, comes competition. A crucial ingredient

for this the undertaking of this grand scheme is the continuity and the most critical stage

is its survival within the initial stages of implementation. Although Lutz (2012) mentions

the importance of institutions and government, he fails to address the vitality of

government, NGO, and corporate partnerships. Such collaborations yielded fruitful

results in remote parts of the world with similar social and economic disparity like India

(Desroches & Andre, 2012). The absence of proper guidance and coalitions will not

achieve the objectives and fail far sooner than reaching the goals of sustainable

development. Developing countries and low-income countries should make full use of

such partnerships to build small, yet effective value chains, which will eventually lead to

small industries capable of supplying products and manufactures to the lead corporations

in the GVCs.

There is strong evidence in development and supply chain literature that connect

the strength of a nation’s supply chain, or GVC, and its performance in [sustainable]

development. It is rather the volume of net activity in the supply chain that contributes to

the overall developmental initiatives in a nation. There are further evidences that link the

supply chain strength to sustainable development. In the midst of all of these activities,

the value chain, or, supply chain, and the growing industries should adhere and stay

committed to sustainable development agendas. Studies have shown that the strength

within the supply chain is directly related to sustainable development.

26

Supply Chain Strength and Sustainable Development

Vachon and Mao have taken a wider scope in analyzing the connection between

supply chain strength and sustainable development. Their analysis, motivated by the

criticism global corporations have been receiving by varying lobbying groups,

investigates the relation between the aspects pertaining to supply chains and the three

sides to sustainable development that have defined as “environmental performance,

corporate environmental practices and social sustainability.” According the statistical

analysis conducted by the researchers, the strength of a supply chain is “positively linked

to all the three dimensions of sustainable development” (Vachon & Mao, 2008).

According to Vachon and Mao, corporations are required to include the social

dimensions of sustainability practices throughout their tasks and operations. This also

affects the distribution of wealth, thus signaling a revision in the conventional supply

chains to better aid in the cause for sustainable development. The key contribution the

paper has made is the adoption of a broader lens for analyzing a company’s

environmental performance. Instead of analyzing a single manufacturing plants

environmental score individually, Vachon and Mao scrutinize the upstream and

downstream in the production processes, and thus create a macro level analysis of a

country’s supply chain strength and linking the results to the aforementioned three

dimensions of sustainable development. This is clearly underlined in their literature

review, which points out that issues such as labor practices gender, equity, wealth

distribution, and fair wages have been seldom addressed in supply chain literature.

27

Additionally, Vachon and Mao also mention the vast number of terminologies

specifically used to describe the relations in the upstream and downstream operations

within supply chain. This is a similar problem encountered in sustainability research,

stemming from multiple definitions given to the word “sustainability”. The problem with

definition Vachon and Mao claim is not directly related to sustainability per say, but due

to the void in the definition of a macro-level supply chain. The example they use is a

location problem of a manufacturing plant, which is ultimately designated to be

constructed at a location for the sake of proximity to its suppliers. Vachon and Mao

highlight the deficiency in linking the industrious factions to a nation’s sustainable

development efforts (Vachon & Mao, 2008).

Overall, this interdisciplinary framework, can aid in examining the development

trends of underdeveloped countries that are striving to adopt the notion of “trading out of

poverty”. Adopting such a framework places a strong emphasis on value creation and

global value chains. Multi-faceted approaches like these will bolster support for other

inter-disciplinary research and create further research opportunities for practitioners and

academicians.

Vachon and Mao claim to hypothetically link supply chain and environmental

management (Vachon & Mao, 2008). What is to be further studied is the new field. Does

this association mean a new horizon for future academic research? Can it serve as an

agenda for developing and low-income countries?

28

To decipher these terms and disciplines, a closer look into the definition of supply

chains has to be referenced and scrutinized. Handfield and Nichols, provide a definition

for Supply Chain in their textbook (1999).

The supply chain (SC) encompasses all activities associated with the flow

and transformation of goods from the raw materials stage (extraction),

through to the end user, as well as the associated information flows.

Materials and information flow both up and down the supply chain…SCM

is the integration of these activities, through improved supply chain

relationships, to achieve a sustainable competitive advantage. (Handfield

and Nichols, 1999)

Although complete in providing the definition that covers business principles, it

fails to address the notion of sustainability. For this matter, this portion of the literature

review is going to focus on the definition of sustainable supply chains in an effort to

furnish stronger understanding of the terms and definitions.

Sustainable Supply Chains

As a part of the ever growing network of a society the world has transformed into,

manufacturing and production processes are dispersed around the globe to bolster higher

profits. This race towards acquiring the lowest production rates are now greatly

challenged by growing environmental concerns. Focal companies or leads, that are

29

defined as those that rule and govern the supply chain, as well as being responsible for

the final delivery to the customer are under critical scrutiny by NGOs. Many sought after

brands such as Adidas, Nike, and Levi Strauss have been accused for environmental and

social problems that have occurred during their production phases.

In their paper, Seuring and Muller (2008) present a literature review on the

subject of sustainable supply chain management as well as a conceptual framework.

Their work shows that only eight papers, published from 1994 to 2007, have offered a

literature background on the matter. They further their study by summarizing the

highlights of the literature they have conducted reviews on, and highlight their focuses on

supply chains.

It is crucial to include literature from a variety of subjects for analyzing

sustainable supply chains. Since the issues surrounding sustainable supply chains are no

doubt an inter-disciplinary research area, it requires multi-faceted approaches and ideas

from both social and environmental context. It is only after a successful and adequate

mixture of those two disciplines, that any work on sustainable supply chains will prove

worthy.

Carter and Rogers (2008) also present a conceptual framework that aims to

integrate the understanding of sustainability within the world of supply chain

management. Upon their literature review, they have arrived at the conclusion that the

term sustainability has been defined and used inconsistently. This shows the problem

arising from the absence of a mutually agreeable definition of a term that is at its peak of

exposure in business and academia.

30

In an environmentally conscious society today, supply chains are at a crucial point

as they can immensely affect the sustainability practices. These can range from

transportation to packaging to warehouse conditions (Carter and Rogers, 2008).

Concluding Remarks

The literature that has been reviewed for the purpose of this study was aimed at

furnishing details about the poverty, lack of infrastructure, and the problem of access to

energy in Zimbabwe from a historical perspective. The dire effects of colonialism, and

the political instability that has followed are some of the essential reasons on the present

situation Zimbabwe is in. Previous development projects, mainly in the form of foreign

financial aid, were also mentioned to give a clearer picture of the effectiveness and end

results. These attempts for development were not proved effective and have been

considered a failure in reaching their stated goals. According to the literature the physical

form of aid, in terms of aid in technical issues and infrastructure were proven to be more

useful.

Furthermore, an introduction of global value chains, and sustainable supply chains

were provided to attain a clearer understanding of the concepts and how they relate to

development studies. The aim of the literature review was to identify and elaborate on the

gap between sustainable development and sustainable supply chains and to build on the

existing theories. This expansion will result in a cohesive framework to understand the

significance of the creation of value and how it can be utilized in the context of

31

sustainable development. The study will build on this framework and further explore

possibilities for future research.

32

METHODOLOGY

The methodology followed in this study is derived from the need to analyze and

quantify the impact on sustainable development of a development projects in Zimbabwe.

A framework, designed to be inclusive and informative to researchers and development

workers, is generated to aid practitioners and researchers to better assess the feasibility of

sustainable development projects. This framework shall be designed in a matrix to ensure

maximum reliability and ensure for the consideration of the selected factors that make up

the dimensions. These two matrix dimensions will represent (1) the three pillars of

sustainability, and (2) the project life-cycle. This classification is necessary to pinpoint

and clearly understand the performance of each item that, in a whole, represents the

pillars that define sustainable development.

The results gathered from the matrix will aid practitioners and researchers in

understanding the effectiveness of the project. Moreover, since the evaluation matrix

utilizes a project life-cycle stage as a dimension, parts of the project that need

improvement and revisions will clearly be visible according to the project’s phase. The

findings from the matrix will then indicate the potential effect the project has on

sustainable development. A result that yields a “high impact” on sustainable development

indicates that the project is likely to have a positive impact on the three pillars of

sustainability and lay the foundation for a self-perpetuating sustainable market that will

create value, and participate in GVCs across the globe. This cycle is expected to result in

economic, social, and environmental improvements in Zimbabwe with the rise in average

income, the creation of jobs, and production low carbon footprint products.

33

Fundamentally motivated by the “Sustainable Project Life Cycle Management:

the need to integrate life cycles in the manufacturing sector” paper (Labuschagne and

Brent, 2005), this study shall serve as an alternative source that is more inclusive and

particularly concentrated on attaining results for the preliminary stage of a sustainable

development project. The breadth of the scope will enable the incorporation of areas that

were previously not accounted for by various methods such as the Life Cycle Assessment

(LCA).

Previously published sustainability methodologies and frameworks were sought to

be utilized for this study, however they have been found to be limited in terms of scope

and output in the context of development projects. Such frameworks, such as LCA, do

not pay close attention to the crucial points of social, and political context of

development projects, and are heavily oriented towards data-analysis. This requirement

of data makes it impractical for development workers, and certainly impossible to assess

the sustainability of certain projects prior to implementation. Vast majority of the projects

carried out in SSA are heavily geared towards sustainable development, supporting the

MDG (Millennium Development Goals) agenda, and directly aimed at impacting the

three pillars of sustainability (Social Inclusion, Environmental Sustainability, and

Economic Development). Since the aim of the BipBop Program is to adhere to the

ideology of sustainable development, a method is needed to assess the projects with

accordance to the sustainability level. Such a framework must incorporate diverse factors

and be able to translate the qualitative data into qualitative data for practical use. This

framework for assessment ought to be consistent and efficient for a vast array of

34

development projects waiting to be implemented. These requirements conform to the

development of an evaluation matrix within the sustainability and life-cycle framework,

utilizing the two factors as the matrix dimensions.

“Aligning project management methodologies with the principles of sustainable

development requires a comprehensive sustainability evaluation to assess projects in

terms of sustainability consequences” (Labuschagne and Brent, 2005). Building on this

central theme, the developed Evaluation Matrix by Labuschagne and Brent (2005) is

applied to this study with a purpose to offer an alternative method of analysis for

renewable energy related projects. The matrix offers an evaluation that is critically poised

at analyzing the sustainability levels and impact on sustainable development of a project

in any given stage of the life cycle. The purpose of this chapter is to provide a detailed

explanation of the life-cycle sustainability assessment, and employ the methodology to

evaluate Schneider Electric’s initiative in Gutu District, Zimbabwe.

In essence, this study will utilize a similar form of the matrix evaluation tool that

has been previously implemented by McConville (2006) and Chow (2010). Their studies

have concentrated on issues directly related to development projects, and have been used

exclusively for the purpose of evaluating projects with respect to different variables.

McConville’s (2006) work concentrates on the issue of water sanitation in Mali, West

Africa. In this study, an evaluation matrix is used to assess the impact a water sanitation

project had on the community and other pillars of sustainable development. Chow (2010)

on the other hand focused on the impact the use of solar home systems on an archipelago

in Vanuatu. This study has significant relevance to the situation of the energy-deprived

35

rural areas of Zimbabwe. Due to the geographical constraints, the national electric grid of

Vanuatu does not reach the small islands consisting of an archipelago of approximately

65 islands. In an attempt to provide access to energy, solar power is utilized via solar

home systems that are comprised of a photovoltaic kit and a battery for domestic use.

Chow’s (2010) study concentrates on the impact this project had on the population of

Vanuatu.

Although the scope of the two studies are different, the methodology is

fundamentally identical whereby a project is assessed for a desired variable, and cross

evaluated to its respective phase. Having two scholarly examples of this methodology

renders the evaluation matrix as a viable form of an assessment tool to evaluate the

outcomes of a development project. Furthermore, the significant relevance of the

problem/solution relationship in Chow’s (2010) creates a stronger case for the credibility

of the evaluation matrix.

The results gathered from this chapter will assist; policy makers and key stake

holders, both in governmental and commercial venues, academicians and practitioners

that are interested in developmental studies, and most importantly future researchers. The

results will aid in understanding the effectiveness of a certain project from a

sustainability standpoint, and therefore offer a crucial review of its viability. The

sustainability guidelines are an assortment, derived from the mission statement of BipBop

program, and my personal voluntary experience as an engineer at SNV in Harare,

Zimbabwe.

36

The following section will serve as an exploratory chapter to better explain the

details pertaining to the main concepts utilized within the methodology framework,

which heavily relies on the definition of sustainability, and the specifics of the project

life-cycle time line.

Sustainability: A Critical Framework

As the world leaps across the turn of another century, new challenges appear at

every step. New problems arise that are more complex and require a unique set of

expertise to diagnose. Since the Brundtlant Report (1987), a new philosophy made its

first public appearance and inspired many scholars and researchers. This new ideology

was unique in the sense that it was multi-faceted and demanded advanced knowledge of

the environmental, social, and economical sciences. Sustainability, a unifying point

between those aforementioned social sciences, seeks to overcome the challenges of

poverty, climate change, and virtually any other issue related to the quality of life

(Asheim, 1994). Today, sustainability has outgrown its infancy stage and is gradually

making its way into viable agendas worldwide, seeking answers for problems our planet

is currently facing. This unifying and unique philosophy has been paramount in the

context of development studies, given its interdisciplinary structure and humanitarian

objectives. The United Nations, one of the first international organizations to embrace

this new theory, has been an active body in realizing sustainable development projects

and prioritizing this concept in the international arena.

37

Although the literature still suggests that there is no unified definition for

sustainability that is agreed upon by different stakeholders, the theory of sustainable

development has been widely accepted as a theory that objectifies human development

and equity, whilst mitigating the harmful effects towards the environment (Waas,

Verbruggen, & Wright, 2010). The problem of defining sustainability increasingly

becomes a primary concern, as the methods and frameworks to measure the outcomes of

sustainability related projects are not inclusive (see Figure 2).

Figure 2. Sustainable Development, an Interdisciplinary Approach.

The lack of an inclusive framework creates barriers to effectively monitor and

evaluate sustainable development projects. Providing access to energy for rural

Zimbabweans will surely benefit the economic activity within the surrounding regions,

due to extended store hours of local businesses, ability to create value added products,

and possibly the creation of small cottage industries.

38

Schneider Electric’s BipBop Program aims to strengthen the development goals

of low-income areas by providing access to energy by utilizing renewable energy

technology. The outcome of this project cannot be justified by solely evaluating the rate

of economic activity, or the number of photovoltaic-kits that have reached rural

Zimbabweans. This impediment in measurement therefore highlights the need for a

framework that can effectively evaluate and assess the outcome of sustainable

development projects carried out in Zimbabwe, and other low-income areas.

Currently, sustainability related projects are evaluated using Life Cycle

Assessment (LCA) analyses to acquire results relating to the ecological footprint of a

product or service from its very start until its completion (Guinée & Heijungs, 2005).

LCA is commonly used by industrial ecologists and practitioners in environmental

management. One of the primary challenges society is facing is the transition from a

fossil fuel dependent lifestyle to a more environmentally friendly one. Businesses, among

other fields, are also in the process of transition towards a sustainable future, whilst

expanding customer base and product range. Integrating the assessment of environmental

management is an indispensable tool to arrive at a conclusion about a product or service’s

ecological performance. These results will typically justify for the environmental aspect,

however there two other pillars within sustainability; the economic, and the social pillars

that need to be addressed for a feasible evaluation. LCA geared towards products,

incorporate virtually every impact there is on the environment, from the resources used in

the beginning at the extraction stage of raw materials, until the waste-stage of a product

where it is finally discarded. The analysis also encompasses the emissions of toxic fumes

39

used in transportation between facilities, and until the point it reaches the customer. This

exhaustive cycle is also known as cradle to cradle (McDonough & Braungart, 2010).

There is ongoing research to extend the use of LCA by adding other various factors to

arrive at more accurate results (Guinée & Heijungs, 2005).

Timeline of the project: The Project Life-Cycle

An inclusive sustainability assessment timeline is required to examine the

performance, and understand the impact of sustainable development projects. The project

life-cycle involves the classification of a series of operations required to complete a set of

objectives. Although versions and styles differ greatly from industry to industry, this

method has been used quite frequently in industry and is a preferred tool to manage and

explain the different stages of a project (Pinto & Slevin, 1988 and Kerzner, 2013).

Irrespective of the subject or the size, most projects may be ordered in the project life

cycle structure (see Figure 3) (Kerzner, 2013).

This section will provide a deeper understanding of the project life-cycle timeline

that will primarily be used to divide a project into its respective parts. The methodology

followed in this study is aimed at implementing a life-cycle timeline and aligning it

within a sustainability framework to better understand and evaluate the feasibility,

impact, and measure the outcomes according to the availability of data.

40

Figure 3. Project Life-Cycle Steps.

Applying these principles of Project Life-Cycle lists (see Figure 3) will enable

users to perform evaluations and better understand the impacts of a sustainable

development project at any given stage. This evaluation will point out strengths and

weaknesses and aid in assessing a need for improvement.

The first stage of the project life-cycle is Initiation. This starting point

encompasses the general scope and the goals of the project, the motivation and the

problem-solution statement. In case of Schneider Electric’s Project in Zimbabwe, the

problem statement can be described simply as the lack of access to energy in rural

Zimbabwe and how this impedes with development. The solution then being, Schneider

Electric BipBop Program, that provides access to energy utilizing renewable energy

sources.

1.
Initiation

2.
Planning

3.
Execution

4.
Conclusion

41

Once the scope of the project is clearly defined, a formal project planning phase

begins. This involves the review of the situation in the pilot area, including the

population, economy, and social equity, to better understand the requirements and

necessary tools. Guidance from local partners, such as NGOs and governmental bodies

are crucially supportive as well. This stage is then followed by the mobilization of

products and services to initiate the actual plan. In the case of Schneider Electric’s

Project in Zimbabwe, the quantities of photo-voltaic kits that are to be distributed are an

issue that has to be addressed.

The execution or implementation of the project is comprised of realizing the

project and following the procedures outlined prior. In case of Schneider Electric’s

Project in Zimbabwe, this entails the community outreach, technical training and

presentation of the In-Diya Photo-Voltaic LED Lighting Kit (Appendix I).

Finally, the closure stage, as self-explanatory, is the concluding stage of the

Project Life-Cycle although it may include revisions to the previous stages such as

additional training on the technical side of the equipment, basic accounting skills,

marketing, and entrepreneurship skills. At this point, Schneider Electric is assumed to

have distributed the LED lighting and Photo-Voltaic kits, and are steadily advancing in

the stage of operations in rural Zimbabwe, proving access to energy to those that are in

need.

42

Figure 4. Modified Project Life-Cycle Stages.

The Evaluation Matrix Dimensions: Modified Project Life-Cycle

In order to effectively evaluate the sustainability level of a development project in

its preliminary stage, prior to execution, an inclusive evaluation matrix is necessary.

Since the BipBop Program has not yet been initiated in Gutu, Zimbabwe, the Project

Life-Cycle method cannot be fully functional. And therefore cannot provide accurate

results. Instead, a more appropriate “Modified Project Life-Cycle” will be utilized to

assess the sustainability level. This matrix will ensure the assessment of each item in the

matrix dimensions. These items are part of the sustainable-development framework, and

relate to the vital stages of a potential project.

This method will enable practitioners and researchers to pinpoint the positive and

negative aspects of a project. The dimensions of the evaluation matrix are based off of,

1. Feasibility of
Project

2. Effectiveness of
Measure

3. Theoretical
Connectedness

4. Maintainability
& Supportability

43

and defined by the Project Life-Cycle Timeline. These include; (1) The Feasibility of The

Project, (2) Effectiveness of Measure, (3) Theoretical Connectedness, (4) Maintainability

& Support. The items will be utilized to evaluate according to the specific time range of

the project. The details pertaining to these four items will be further discussed in the

following paragraphs.

The Feasibility of the Project

Evaluating the viability of project is paramount. A successful development project

is expected to provide an intelligible solution to a problem that has been defined.

Extension of the national electric grid of Zimbabwe of is an effective solution

hypothetically, but the effectiveness of this plan today is arguable considering the

situation of the rural Zimbabweans in Gutu District. This item will evaluated with

accordance to the feasibility of the project that is to be initiated.

Effectiveness

of Measure

Steps that gradually elevate a project to meet its intended purpose are the corner

stones of a grand structure. Considering the outline of the BipBop Program, the measure

taken as a proposed solution has crucial impact on the success of the overall program. As

there are other possible measures that could be employed, this item will explore the

usefulness of the In-Diya PV LED Kit and analyze how well the proposed solution and

problem correlate.

44

Theoretical

Connectedness

This stage refers to the ability to adapt the conceptual plan to the conditions

described in the problem statement. This is perhaps the most important step that can

greatly alter the outcome of the project. A strong overlapping connection must be present

to achieve the desired positive outcome. Types of equipment, supplies, restraints, and

problem-solution relationship are all necessary items can affect the results and may be the

crucial factor that determines the success.

Maintainability &

Support

Once the project has been implemented and operationalized, the customers that

have acquired the Schneider In-Diya LED Lighting Kit are dependent on the reliability of

the product. This stage evaluates the implications of the project when it has been

initiated. Due to the lack of spare parts and support, this project may have positive or

negative unintended consequences.

The Evaluation Matrix Dimensions: Sustainable Development Items

The other dimensions that are targeting the assessment of sustainability are based

off of Figure 1 with the intention being to provide a cohesive analysis of the factors of

sustainability, which is indispensable when reviewing a sustainable development project.

This matrix dimension is composed of; (1) Community Outreach/Participation, (2)

Economic Benefits, (3) Social Equity, (4) Environmental Factors, and (5) Impact on

45

Value Creation. The details pertaining to these four items will be further discussed in the

following paragraphs.

Community Outreach/

Participation

This item is selected to account for the social and human development within the

rural community. The primary objective is to empower the rural Zimbabweans and

extending their abilities to make positive changes in their communities.

Economic

Benefits

This will aid in clarifying the net economic benefits of the community members

in Gutu District, Zimbabwe. Though economic development and benefit are not viable

sources to justify the performance of a sustainable development project, it is a necessary

item that has to be improved to create a sense of empowerment that will eventually lead

to a positive outcome in the overall scope of development. It can also be measured

through an increase in average income.

Social Equity

The case of social equity lies on the base of assessing the impact of providing

affordable, and sustainable energy solutions to those rural Zimbabweans that are in need.

One of the objectives of sustainable development is to achieve equality on a societal level

and this item will aid in understanding how a sustainable development project will impact

social equity.

46

Environmental

Factors

One of the major components of sustainability, and the ideology behind the

creation of LCA of products is the impact on the environment. This sustainable

development project aims to provide clean energy and sustainable solutions that harness

energy from renewable sources.

Impact on

Value Creation

This factor will assess the effect “Access to Energy Program” has on the creation

of value. The sustainable development path foreseen for Zimbabwe also entails the

growth of economy and certain industries. As highlighted in the literature review, gaining

access to value-chains and forming a cluster, and progressing towards the global value

chains are meaningful endeavors for a developing country like Zimbabwe.

The Evaluation Matrix

Upon defining the dimensions, the resulting matrix is shown in Table 1. The

matrix dimensions were defined based on the findings of Labuschagne and Brent (2005).

Their research suggests that the matrix dimensions have to adhere to the scope of the

overall project and must be aligned with a time-line. With the BipBop Program, the

project concentrates on sustainable development and value creation, hence the items

within “Sustainable Development Items.” This matrix framework allows for each item,

listed in the dimensions, to be evaluated with accordance to the timeline of the project.

With this tool, practitioners and researchers can both visually and intuitively comprehend

47

the strengths and weakness of a certain sustainable development project, and ascertain

areas that might need improvement.

Table1. The Sustainable Development Project-Evaluation Matrix.

MODIFIED PROJECT LIFE-CYCLE

Feasibility

of Project

Effectiveness

of Measure

Theoretical

Connectedness

Maintain-

ability &

Support

S
U

S
T

A
IN

A
B

L
E

D
E

V
E

L
O

P
M

E
N

T

IT
E

M
S

Community

Outreach/

Participation

(1,1) (1,2) (1,3) (1,4)

Economic

Benefits

(2,1) (2,2) (2,3) (2,4)

Social Equity

(3,1) (3,2) (3,3) (3,4)

Environmental

Factors

(4,1) (4,2) (4,3) (4,4)

Impact on

Value Creation

(5,1) (5,2) (5,3) (5,4)

Total 15/15 15/15 15/15 15/15

Min. Score/Item 1 1 1 1

Max. Score/Item

3 3 3 3

Scoring Guidelines

The evaluation matrix will be scored based on the evaluator’s assessment of how

the items are impacted through the sustainable development project. Each item in the

dimensions is crossed between the “Sustainable Development Items” and “Project Life-

Cycle” to account the impact of each individual. The evaluator will grade each element

with a numerical value from (1 – 3). This means: A numerical value of (1) being low

impact, close to no effect. A numerical value of (2), being a moderate effect, and, a

48

numerical value of (3) being a high impact (see Table 1). This will result in a maximum

total score of 15 per item listed on the “Modified Project Life-Cycle.”

As per the case of Schneider Electric’s BipBop Program in Zimbabwe, these

elements will be evaluated based on my personal experience as voluntary engineer at

SNV, one of the local partners of Schneider Electric, which has assisted the BipBop

Program with facilitation and implementation of the preliminary tasks. These experiences

are based on observations of; villages in Gutu District, Zimbabwe, and the technical

training phase of the Photo-voltaic Kits in Harare, Zimbabwe.

Scale

Once the scores have been assigned for each item in the Modified Project Life-

Cycle Stage, the overall results have to be evaluated to determine the level of Impact the

project has. This step will ensure precise analysis for each respective stage of the Project.

Since the minimum available points per the Project Life-Cycle Stage are 5, and the

maximum 15, the scale for determining the level of impact has been designed

accordingly. “Low Impact” ranges from (0 – 5). “Moderate Impact” ranges from (5-10).

“High Impact” ranges from (11-15).

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Table 2. Impact Scale for Determining Effect of the Project.

Impact Range

Points

High

11-15

Moderate

6-10

Low

5

Given the defined matrix dimensions, the items that represent the “Sustainable

Development” portion of the assessment will be analyzed with accordance to the project

stage. This time-line has been constructed to ensure a precise measurement at a given

project phase, and is represented by the “Modified Project Life-Cycle”. This structure

ensures the evaluation of each defined sustainable development item and therefore

enables an accurate assessment of the potential implications of the BipBop Program in

Zimbabwe. Each item will be rated according to the scale in Table 2 (shown above). The

results for each section will then determine the impact BipBop Project has on sustainable

development in Zimbabwe.

50

DATA ANALYSIS

Examining the Sustainability of the BipBop Program

The assessment of Schneider Electric’s project on rural electrification in

Zimbabwe was made possible through my voluntary participation with SNV at Harare,

Zimbabwe. SNV was one of the local partners of Schneider Electric, and aided the

BipBop Project by assisting with the facilitation, and providing crucial insights on the

rural communities of Zimbabwe. Though my involvement, I was able to partake in site

visits in the rural villages of Gutu District and directly perceive the situation of the

energy deprived households. Furthermore, I was able to attain local insights on potential

solutions, and personal views of the community members, through informal

conversations. The site visit was only scheduled until the afternoon and did not extend

until the evening due to the difficulties in limited visibility, and navigation through

unpaved and unlit roads.

Moreover, participating in the technical presentation and training of Schneider’s

In-Diya PV kits in Harare, as well as being exposed to the rural environment alongside

Schneider Electric representatives, was another major factor that aided in gaining insights

on the BipBop Projects. All these experiences added up had considerable influence on

understanding the potential impacts on rural Zimbabweans.

As mentioned previously, the evaluative assessment of this project is based on my

aforementioned observations. These also include informal conversations with the

51

community members, Schneider Electric representatives, and other representatives from

various development agencies.

Pilot Area: Gutu, Zimbabwe

Gutu District is one of the largest districts in Masvingo Province and has a

population of approximately 200,000. It is situated in the north of the province and is 140

miles south of the capital, Harare. The majority of the rural population is occupied with

farming, mainly tobacco and potatoes. Members of this energy deprived community in

Gutu live a modest lifestyle, coping with all the difficulties that electricity has overcome

years ago.

Figure 5. Seven districts of Masvingo Province, Gutu (in blue), 2006.

52

There are however, other sustainable solutions that are widely used and accepted.

The parabolic dish, which is mostly used for heating water, is a solution that is utilized

throughout the village. Meals are usually prepared using wood fire and greatly lack in

sanitation. Another major issue is the storage of food: There are no methods for

effectively storing prepared meals.

Figure 6. Solar Parabolic Heat Dish, Gutu, Zimbabwe. 2013.

Previously, there have been humanitarian projects that were aimed at

implementing irrigation schemes that used water from nearby dams. This irrigation

project, initiated by Oxfam, has had a positive impact on the farmers’ livelihood and the

rural community. The success of the irrigation project has highly motivated the

community members to seek out solutions to their existing problems (Oxfam, 2012). The

53

proposed solution of PV kits are greatly appreciated and highly anticipated by the

community members.

It is crucial to ascertain the impacts the project will have on the community

members and households. However, the scope of this work is to gain better insights on

the influence of such development projects that apply renewable energy engineering

concepts. Therefore, this study will scrutinize the BipBop Project on a broader scale.

The analysis section will be utilizing the evaluation matrix that enables the

assessment of the BipBop Project in Gutu, Zimbabwe. The measure is composed of the

In-Diya Photo-Voltaic LED and Battery Kit that is to be distributed by Schneider

Electric. In order to gain a better understanding of how this initiative impacts sustainable

development in Gutu, the “Sustainable Development Items” will be cross analyzed with

the “Modified Project Life Cycle” stages.

This analysis will yield a numerical score that will be interpreted according to the

“Impact Scale”. The result will theoretically assess the impact of the project and justify

its position within the grand scheme of sustainable development.

54

Table 3. The Assessment of the BipBop Project, Evaluation Matrix.

MODIFIED PROJECT LIFE-CYCLE
Feasibility
of Project
Effectiveness
of Measure
Theoretical
Connectedness
Maintain-
ability &
Support
S
U
S
T
A
IN
A
B
L
E
D
E
V
E
L
O
P
M
E
N
T

IT
E
M
S

Community
Outreach/
Participation

3 3 3 2

Economic
Benefits

3 3 3 3
Social Equity

1 1 2 2

Environmental
Factors

3 3 3 2
Impact on
Value Creation

3 3 3 3

Total 13/15 13/15 14/15 12/15

Min. Score/Item 1 1 2 2

Max. Score/Item 3 3 3 3

The BipBop Project in Gutu, Zimbabwe was assessed using the Evaluation

Matrix. The results of the project are shown in Table 2. The BipBop Project scores

highest for the “Theoretical Connectedness” stage (14 points/15points) of the “Modified

Project Life-Cycle” and equally level (13 points/15 points) for the “Feasibility of

Project”, and “Effectiveness of Measure”. The “Maintainability and Support” stage

scores a relatively lower score of (12/15). The overall results indicate a “High Impact” on

development for the overall preliminary assessment of the project as all four stages of the

“Modified Project Life Cycle” items scored within the bounds of “High Impact” (10

points – 15 points).

55

The evaluation for the project was executed and assessed per the “Modified

Project Life-Cycle”. This method enables the valuation of the BipBop Project according

to its theoretical components that lie within the preliminary assessment.

Feasibility of Project

The “Feasibility of Project” stage scored (12 points/15 points) and resulted in a

“High Impact” classification. The project outline of providing access to energy by

sustainable means is highly related to the objective of Schneider Electric Corp. BipBop

Program. Moreover, considering the lack of access to energy in Gutu, Zimbabwe, this

situation makes a perfect problem-solution relation and scores perfectly. It is expected

that this project will result in higher transaction rates and economic benefits for the local

community in Gutu, due to the extension of store hours, and other various products

technology has to offer. Fresh produce, frozen goods, and several electronic items such as

radios and televisions will have the necessary infrastructure to operate.

The “Social Equity” item scored the lowest (1 point/3 points) within the

“Sustainable Development Items”. This is due to the uncertainty that arises concerning

the social dimensions and how such a project affects the social balance within the

community. Since there are a limited number of PV kits, not all community members

may reap the benefits of direct access to energy.

As the BipBop Project in Gutu, Zimbabwe encompasses the use of renewable

energy and efficient lighting modules (LED Kits) the “Environmental Factors” item

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scores perfectly and ensures high environmental performance. Photovoltaic kits harness

energy from the sun, and therefore are considered both sustainable and renewable.

“Impact on Value Creation” item has scored (3 points/3 points) and therefore

considered “High Impact” as well. Desroches and Andre (2012) project growth in value

creation, due to an extended range of new products and services that will be available

with the access to energy. These include, televisions, radios, and other items such as

sewing machines.

Effectiveness of Measure

As the problem was defined as the lack of access to energy in Gutu, Zimbabwe,

the proposed solution of electrification via sustainable methods is an accurate measure.

Due to this cohesion, “Effectiveness of Measure” stages scored decent and thus

considered “High Impact” with (12 points/15 points). Community participation is at an

utmost priority level and requires outreach from local Zimbabweans to further the

project. The selected entrepreneurs for the In-Diya PV LED Kit are also required to keep

community participation at high levels for their own profitability, that will in turn, create

value and foster further economic development. This cycle is echoed in the results section

for “Effectiveness of Measure” as; “Community Participation”, “Economic Benefits”,

“Environmental Factors”, and “Value Creation” scored a (3 points/3 points).

As was the case for the feasibility section, the “Social Equity” item scored the

lowest (1 point/3 points) for this section as well. The reason is due to the same problem

57

concerning the uncertainty that arises regarding the social dimensions and how this

electrification project affects the social equilibrium within the community.

Theoretical Connectedness

Since the problem-solution relationship concerning the lack of access to energy is

evident from studies Schneider Electric has conducted (Desroches and Andre, 2012), the

overall “Theoretical Connectedness” portion of the analysis reflects the literature and

scores considerably high with respect to the other stages. This result supports the

theoretical framework of the BipBop Program and their initiative in Gutu, Zimbabwe.

The “Sustainable Development Items” all, except “Social Equity”, score (3 points/ 3

points) reinforced by the mission and vision statements of the BipBop Program:

“…bring[ing] safe, clean electricity to the people who need it most Worldwide. The

programme addresses three key issues in an effort to achieve the environmental, social,

and business outcomes that are essential to any successful sustainability initiative.”

(Desroches and Andre, 2012).

Compatible with previous stages of the “Modified Project Life Cycle” the “Social

Equity” item of the “Sustainable Development Items” score (2 points/ 3 points) and thus

considered “Moderate Impact”. This is due to the lack of theoretical support and

justification for impact on the social equilibrium in Gutu, Zimbabwe.

58

Maintainability and Support

This stage of the project is the final stage of the preliminary assessment, which is

reflected by the “Modified Project Life Cycle”. The overall score for this stage is (12

points/15 points) and thus considered “High Impact” on sustainable development. This

portion is detailed on the reliability aspects of the In-Diya PV LED Kits, and especially

during the distribution period. Although a few complications on the maintenance and

support features are present, such as lack of spare parts and trained service personnel, the

“Maintainability and Support” will create further economic benefits and value creation

because of this very lack of parts and service. It is expected that this need will arouse

other entrepreneurs, proposing solutions for problems that may be encountered. Due to

this relation the “Economic Benefits” and “Value Creation” items score (3 points/ 3

points) and the; “Community Participation”, “Social Equity”, and “Environmental

Factors” score (2 points/ 3 points).

59

CONCLUSION

The role of renewable energy in sustainable development has reached a new level.

With an environmentally conscious population rising around the world, the concept of

sustainability has been a sought after strategy, often proposed as a solution, for a wide

range of global issues. Energy, and the services energy enables are well embedded in our

daily lives. Almost every task is carried out directly, and sometimes indirectly, utilizing

equipment that require energy. These services are essential to human beings and

countries; access to energy is also a means for clean water, communication, clean and

efficient lighting, healthcare needs, transport, and a dozen more essential services that

can be translated into positive economic and social outputs.

The scope of this study was intended to examine and synthesize the relationship

between, global value chains, sustainability, and development. It was found that

presently, in an environmentally conscious era, the supply networks are increasingly

pressured by non-governmental and institutional bodies to adopt and promote

environmental, social, and economic transparency in their respective operations. The

three pillars of sustainability, which are also inevitably linked to issues in development,

have become the stepping stone for scholars interested in global matters of concern, such

as poverty and income inequality (Hansmann, Mieg & Frischknecht, 2012).

The literature suggests that this transparency is carried out to improve the social

welfare of a society. Increased demands require robustness and oblige businesses to

constantly strive to better serve customers via any means that improve process efficiency.

Striving for perfection, and mitigating any sort of waste to accomplish ultra-high

60

efficiency causes many complications; especially in working conditions and human

rights, and social values. The supply chain networks today are growing quickly, and ever

expanding over international boundaries where social values can be infringed upon. This

existing awareness on social, environmental, and economical spheres in sustainability and

supply chain can be transferred into instruments that assess implications of implemented

development programs that seek to create value and shift low-income regions into

suppliers in the global value chains.

In this context, Zimbabwe, as a developing low-income area, is an ideal location

to initiate these interventions. With the BipBop program, Zimbabwe, will experiment

with the creation of value and sustainable development to achieve higher developmental

goals.

The rising trend, reflected by the interest in academic journal articles in the new

area of “Sustainable Development”, indicates a growing interest. Although this high

density gives birth to different viewpoints from diverse fields, the variance causes some

deviation in the meaning of the term “Sustainable Development.” For the purpose of

assessing the developmental project of the French Energy Company, Schneider Electric,

“Sustainable Development” has been defined in this paper as a means of development

that ensures the mitigation of pollution and harmful effects on the environment and

society. This new ideology, if applied expertly, will assist the situation of Zimbabwe that

has suffered many hardships from its colonial history, political turmoil, and instable

economy. The study conducted by Desroches and Andre (2012) show positive impacts on

the sustainable livelihoods in Peru, and India, following the BipBop In-Diya PV LED Kit

61

Projects. For the case of Zimbabwe, it is projected that the access to energy will empower

the community members. With the extension of business hours, ability to store perishable

items by refrigeration, and ability to operate electrical devices such as radios and

televisions, a foundation is built on which local entrepreneurs can further build and

develop. Through this cycle, it is expected that small economies belonging to small

Zimbabwean towns and villages will join with the grand scheme of value chains and

connect into the GVCs to construct sustainable supply chains.

The literature suggests that the creation of value is paramount for smallholders to

buy in GVCs. With the scope of the BipBop Project and Schneider Electric Corporation’s

dedication for a sustainable future, Zimbabwe will be setting grounds for growing

sustainable supply chains in the future.

The results show that Schneider Electric’s BipBop Program is likely to have a

“High Impact” on sustainable development. All four of the “Sustainable Development

Items” have scored 12 points, or above, and are thus considered to have a “High Impact

on Development” according to the scale in Table 2. These results, which are focused on

the preliminary stage of the project, can aid in predicting the likeliness of success by

achieving the set goals.

Schneider’s project is also likely to impact the health sector, creating a positive

effect on human development via lighting solutions. Based off the previous success

Schneider has displayed in India and Peru, it is expected that the Photovoltaic LED

lighting project will benefit the rural communities and neighboring towns. According to

the data presented by Desroches and Andre (2012) extended store hours show a direct

62

positive relationship with an increase in transaction. Furthermore, it is argued that this

model is a self-perpetuating cycle once initiated. Considering the past interventions by

other actors in Zimbabwe, which haven’t shown much improvement, this new initiative

launched by a dedicated energy management company proves to be a more effective

formula for the future of an emerging, young, and energetic nation.

There are several limitations in the analysis portion of this framework. While the

Evaluation Matrix offers assessment for each matrix item, it does not take the weight

factor into account. This is an important restraint that may alter the accuracy of the

analysis. Furthermore, the installation stage of the project may experience other

complications that might not have been planned for. The installation and operation stages

of the project also have to adhere to the previously planned layout and follow the same

principles to remain sustainable. Therefore, the development of a more precise and

accurate methodology to determine sustainability factors is paramount.

Another limitation that arises with the evaluation stage is the scoring system.

Since the scoring system is evaluated by an assessor, the results cannot be replicated and

therefore fall short for arriving at precise data. Moreover, conditions may not be agreeing

with the matrix dimensions in other projects.

Despite the limitations of this analysis-framework, the matrix evaluation tool

offers a unique method to ascribe greater understanding of the potential implications of a

sustainable development project that may not otherwise be measured.

Overall, this work offers a distinct technique of analyzing social, economic, and

environmental pillars within the context of development projects. “Sustainable

63

Development Items” and “Modified Project Life-Cycle” lists crucial indicators that are

vital for understanding the implications on the social, economic, and environmental

dimensions. The life-cycle analogy was modified to better fit the needs of preliminary

assessments and considers each stage thoroughly. While this “Evaluation Matrix” was

primarily intended for initial assessment, it can be altered and modified to better fit the

conditions for an assessment tool that evaluates the installation and implementation

stages of other development project. This work also serves as an important form of

evidence that highlights the complexities that are present in development studies.

Most importantly, this work synthesizes theories involving sustainability,

development, and value chain literature. It offers an alternate lens for development

studies and aids by intertwining the three distinct fields. The matrix evaluation tool

enables the assessment of a development project in its preliminary stages, and projects

the impact it is likely to have on a community in Zimbabwe. This relationship is critical

as the impact level of a sustainability project directly relates to the outcomes, which in

turn, enables the creation of value (Desroches & Andre 2012). It is through the active

participation as a dynamic supplier in the GVCs that Zimbabwe will develop and prosper.

Since the matrix evaluation framework only yields results for the preliminary

stages, it is difficult to state whether the theoretical connections made in this study are

working or not. The major findings are however, that a “high impact” on a sustainable

development project yields the ability to create value, which in turn can be further

developed and traded across international boundaries through GVCs. The inability to

64

arrive at discrete results on the performance of the theoretical formulation is another

constraint that arises with the utilization of such a framework.

Recommendations for future research in the field of development include, but are

not limited to, further analyzing the implications of business and economics principles,

and how they can be utilized to create new frameworks to analyze future problems in

eradication of poverty, and human development.

65

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70

APPENDIX A

TECHNICAL SPECIFICATIONS OF IN-DIYA PHOTO-VOLTAIC LED KIT

71

In-Diya – Efficient Lighting Solution

Operating voltage: 90V – 250V AC/ 50-60Hz, 12V DC

Light Output: Equivalent to 11Watt CFL (Compact Fluorescent Lamp)

LED Life: 50,000 hours

Battery : 12V, 5Ah

Power consumption by LED: 5.5 Watt when operated on AC supply, 4.5 watt when

operated on battery (solar charged).

Figure 7. The In-Diya Photo-Voltaic (PV) Kit LED and Battery Kit.

i

 

 

 

THE ROLE OF WOMEN IN SUSTAINABILITY OF DONOR‐FUNDED RURAL 

DRINKING WATER SUPPLY PROJECTS IN DEVELOPING COUNTRIES: 

A Case Study of 

Tajikistan 

 

by 

Nargis A. Artyushevskaya 

A thesis 
submitted in partial fulfill

men


of the requirements for the 
Master of Science Degree 
In Environmental Studies 

State University of New York 
College of Environmental Science and Forestry 

Syracuse, New York 
April 2014 

 
 
 

Approved: Department of Environmental Studies

 
 

 

____________________________

   

  ______________________________ 
Richard Smardon, Major Professor      Shannon Farrell, Chair

 
   

          Examining Committee 

   

 
 

____________________________      ______________________________ 
Valerie Luzadis, Department Chair      S. Scott Shannon, Dean 
              The Graduate School 

 
 
 

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  ii

ACKNOWLEDGEMENTS 
 

First, I am sincerely thankful to my major professor, Dr. Richard Smardon, for patience and 
all support provided throughout all stages of IRB submissions, survey administration, review 
and  finalization  of  thesis  chapters.  Professor  Smardon,  without  your  solid  guidance  this 
research would never have happened.  I would also  like to thank my Steering Committee 
members, Dr. David Sonnenfeld and Dr. Sharon Moran, for their valuable feedback provided 
throughout the thesis developments, as well as at the research proposal stage.  I am also 
very grateful to my defense examiner, Dr. Natalie Koch, from the Department of Geography 
at Maxwell School of Citizenship and Public Affairs, for cooperation and valuable feedback.

  

 
I am very thankful to Oxfam GB in Tajikistan for the indispensable support with the 

administration of the survey, dissemination of the survey tools and collection of responses. 
My  sincere  gratitude  to  Mr.  Davide  Costa  and  Mrs.  Nazokat  Isaeva  for  the  productive 
collaboration making this research possible. I am also in an eternal debt to the partnering 
agency, NGO Subhi Tandurusti, for assistance with the administration and dissemination of 
the survey and collection of responses. Zamir Sangov and Boir Shomudinov, I cannot find 
enough words to express my gratitude. 

 
I  am  sincerely  grateful  to  each  and  every  participant  of  the  survey  for  active 

participation and valuable information provided. Without your information the conclusions 
reached in this research would not be complete and meaningful.

  

 
I am thankful to my family and friends, who supported and encouraged me during 

this demanding and undoubtedly one of the most rewarding periods of my life.  
 
Finally, I would like to express my gratefulness to the Fulbright Program and SUNY 

ESF for the financial support and the incredible opportunity granted to me to pursue Master 
of Science in Environmental Studies at SUNY ESF.  

 
 
 
 
 
 

The ideas and opinions expressed in this publication are those of the author and should not 
be interpreted as those of the State University of New York College of Environmental 

Science and Forestry. 
 

  iii

Table of Contents 

CHAPTER 1: INTRODUCTION ……………………………………………………………………………………………. 1 
1.1  BACKGROUND ………………………………………………………………………………………………………………. 1 
1.2  PROBLEM STATEMENT …………………………………………………………………………………………………….. 3 
1.3  RESEARCH QUESTIONS ……………………………………………………………………………………………………. 4 
1.4  JUSTIFICATION ………………………………………………………………………………………………………………. 4 
1.5  CONCEPTUAL TERMS AND DEFINITIONS …………………………………………………………………………………. 5 

CHAPTER 2: COUNTRY CONTEXT ………………………………………………………………………………………. 9 
2.1  COUNTRY PROFILE …………………………………………………………………………………………………………. 9 
2.4  GENDER EQUITY AND WOMEN’S ROLES ……………………………………………………………………………….. 10 
2.2  TAJIKISTAN’S WATER SECTOR …………………………………………………………………………………………… 14 
2.3  DONOR COMMUNITY AND SECTOR PARTNERS ………………………………………………………………………. 17 

CHAPTER 3: THEORETICAL FRAMEWORK ………………………………………………………………………….. 19 
3.1  FEMINIST POLITICAL ECOLOGY …………………………………………………………………………………………. 19 
3.2   AGENCY AND POWER …………………………………………………………………………………………………… 21 
3.3  PROJECT SUSTAINABILITY ……………………………………………………………………………………………….. 23 
3.4  COMMUNITY PARTICIPATION …………………………………………………………………………………………… 25 
3.5  WOMEN’S PARTICIPATION………………………………………………………………………………………………. 27 
3.6  SUMMARY …………………………………………………………………………………………………………………. 33 

CHAPTER 4: METHODOLOGY ………………………………………………………………………………………….. 35 
4.1  RESEARCH DESIGN ……………………………………………………………………………………………………….. 35 

4.1.1  Research Question and Hypothesis ………………………………………………………………………. 35 
4.1.2  Research Methods ……………………………………………………………………………………………… 36 

4.2  META‐ANALYSIS ………………………………………………………………………………………………………….. 37 
4.2.1 Dependent and Independent Variables ……………………………………………………………………. 37 
4.2.2  Target Population and Units of Analysis ……………………………………………………………….. 38 
4.2.3  Meta‐analysis procedure ……………………………………………………………………………………. 40 

4.3  SURVEY ADMINISTRATION ………………………………………………………………………………………………. 41 
4.3.1  Variables and Levels of Measurement ………………………………………………………………….. 41 
4.3.2  Target Population and Units of Analysis ……………………………………………………………….. 42 
4.3.3  Survey Design ……………………………………………………………………………………………………. 43 
4.3.4 Planned Analysis …………………………………………………………………………………………………… 44 
4.3.5  Validity and Reliability ……………………………………………………………………………………….. 45 
4.3.6  Survey Error and Bias …………………………………………………………………………………………. 46 

CHAPTER 5: RESULTS …………………………………………………………………………………………………….. 48 
5.1  META‐ANALYSIS ………………………………………………………………………………………………………….. 48 

5.1.1 Summarizing critical factors …………………………………………………………………………………… 48 
5.1.3 Geographical and contextual disparities ………………………………………………………………….. 63 
5.1.2 Narrative on meta‐analysis ……………………………………………………………………………………. 65 

5.2  SURVEY RESULTS …………………………………………………………………………………………………………. 76 
5.2.2 Project Sustainability and Community Participation ………………………………………………….. 80 
5.2.3 Participatory Role of Women …………………………………………………………………………………. 85 

CHAPTER 6: DISCUSSION AND CONCLUSION …………………………………………………………………….. 96 
6.1   FORMS OF WOMEN’S PARTICIPATION FOR PROJECT SUSTAINABILITY …………………………………………….. 96 
6.2   PERCEPTIONS OF WOMEN’S PARTICIPATION …………………………………………………………………………. 98 
6.3  WOMEN’S PARTICIPATION AND PROJECT SUSTAINABILITY …………………………………………………………. 98 
6.4  LIMITATIONS AND FUTURE RESEARCH ……………………………………………………………………………….. 101 
6.5  CONCLUSIONS AND RECOMMENDATIONS ………………………………………………………………………….. 103 

  iv

BIBLIOGRAPHY ……………………………………………………………………………………………………………. 105 
APPENDICES ……………………………………………………………………………………………………………………… 113 

Annex A. Matrix of Research Methods …………………………………………………………………………… 113 
Annex B. Relationship between research questions, methods and hypothesis …………………….. 114 
Annex C. Format of Literature Summary Matrix ……………………………………………………………… 115 
Annex D. TajWSS agency membership list ……………………………………………………………………… 116 
Annex E. Survey Tool in English and Russian …………………………………………………………………… 117 
Annex F. Informed Consent forms in English and Russian …………………………………………………. 129 
Annex G. Survey Recruitment Scripts in English and Russian …………………………………………….. 131 
Annex H. Survey Pre‐test Recruitment Script ………………………………………………………………….. 132 
Annex I. Survey Pre‐test Informed Consent …………………………………………………………………….. 133 
Annex J. Survey Pre‐test Results ……………………………………………………………………………………. 134 
Annex K. Survey Piloting Recruitment Script …………………………………………………………………… 135 
Annex L. Survey Piloting Informed Consent …………………………………………………………………….. 136 
Annex M. Literature Review Findings Tabulation …………………………………………………………….. 137 
Annex N. Categorization of Literature Review Findings ……………………………………………………. 145 
Annex O. Crosstab of survey results: General Information on Survey Participants ……………….. 151 
Annex P. Survey results: agreement to country‐specific statements ………………………………….. 152 

CURRICULUM VITAE …………………………………………………………………………………………………….. 153 
 
   

  v

LIST OF TABLES            

     

Table 1. Labor market status of 

women

 in Tajikistan (Chapter 2, p.11) 

Table 2. Distribution of responsibilities among household members (Chapter 2, p.12) 

Table 3. Planned statistical analysis of survey results in SPSS (Chapter 4, p.44) 

Table 4. Meta‐analysis results: publication of studies by years (Chapter 5, p.48) 

Table 5. Meta‐analysis results: technical factors of project sustainability (Chapter 5, p.50) 

Table 6. Meta‐analysis results: financial factors of project sustainability (Chapter 5, p.52) 

Table 7. Meta‐analysis results: institutional factors of project sustainability (Chapter 5, p.53) 

Table 8. Meta‐analysis results: community participation and women’s participation (Chapter 5, p.55) 

Table 9. Meta‐analysis results: social factors of project sustainability (Chapter 5, p.56) 

Table 10. Meta‐analysis results: social factors ‐ community participation (Chapter 5, p.58) 

Table 11. Meta‐analysis results: social factors – women’s participation (Chapter 5, p.60) 

Table 12.  Meta‐analysis results: descriptive statistics on typology of women’s participation (Chapter 
5, p.61) 

Table 13. Meta‐analysis results: descriptive statistics on geographical regions (Chapter 5, p.62) 

Table 14. Meta‐analysis results: list of researched countries across studies (Chapter 5, p.63) 

Table 15. Survey results: general information on the survey participants (Chapter 5, p.76) 

Table 16. Survey results: gender and age of the survey participants (Chapter 5, p.76) 

Table 17. Survey results: professional occupation and type of agency the survey participants 
represent (Chapter 5, p.77) 

Table 18. Survey results: years of experience of the survey participants (Chapter 5, p.78) 

Table 19. Survey results: Cross‐tabulation of gender by type of agency and years of experience 
(Chapter 5, p.79) 

Table 20. Survey results: community participation (Chapter 5, p.79) 

Table 21. Survey results: relevance of potential factors of project sustainability (Chapter 5, p.80) 

Table 22. Survey results: means report for GPA by gender, age, professional occupation and type of 
agency (Chapter 5, p.81) 

Table 23. Survey results: ANOVA for GPA by gender, age, professional occupation, type of agency 
(Chapter 5, p.82) 

Table 24. Survey results: effect size for GPA by gender, age, professional occupation, type of agency 
and years of experience (Chapter 5, p.83) 

  vi

Table 25. Survey results: years of operation for sustainable projects (Chapter 5, p.84) 

Table 26. Survey results: male and female participation for project sustainability_1  (Chapter 5, p.85) 

Table 27. Survey results: male and female participation for project sustainability_2 (Chapter 5, p.86) 

Table 28. Survey results: women’s participation for project sustainability (Chapter 5, p.86) 

Table 29. Survey results: male and female participation for project sustainability_3 (Chapter 5, p.87) 

Table 30. Survey results: hypothesis testing for RQ3_ frequencies_1 (Chapter 5, p.88) 

Table 31. Survey results: Hypothesis testing for RQ3 _ chi‐square_1 (Chapter 5, p.89) 

Table 32. Survey results: hypothesis testing for RQ3_ frequencies_2 (Chapter 5, p.90) 

Table 33. Survey results: Hypothesis testing for RQ3 _ chi‐square_2 (Chapter 5, p.90) 

Table 34. Survey results: attributes of male and female participants (Chapter 5, p.91) 

Table 35. Survey results: agreements to the country‐specific statements (Chapter 5, p.92) 

Table 36. Survey results: frequencies of agreements/disagreements with country‐context 
statements (Chapter 5, p.93) 

 

 
   

  vii

LIST OF FIGURES                   
Figure 1. Geographical map of Tajikistan (Chapter 2, p.9) 

Figure 2. Hydrological map of Tajikistan (Chapter 2, p.14) 

Figure 3. Water consumption by sectors in Tajikistan (Chapter 2, p.15) 

Figure 4. Projected water consumption in rural Tajikistan (Chapter 2, p.16) 

Figure 5. Water and sanitation sector investments (Chapter 2, p.18) 

Figure 6. Framework of Water Governance (Chapter 3, p.22) 

Figure 7. Theoretical model of dependent and Independent variables (Chapter 4, p.38) 

Figure 8. Meat‐analysis process  (Chapter 4, p.40) 

Figure 9. Meta‐analysis results: four typologies of project sustainability (Chapter 5, p.48) 

Figure 10. Meta‐analysis results: years of publication (Chapter 5, p.49) 

Figure 11. Meta‐analysis results: publication of studies by years (Chapter 5, p.49) 

Figure 12. Meta‐analysis results: distribution of technical factors of project sustainability (Chapter 5, 
p.51) 

Figure 13. Meta‐analysis results: distribution of financial factors of project sustainability (Chapter 5, 
p.52) 

Figure 14. Meta‐analysis results: distribution of institutional factors of project sustainability (Chapter 
5, p.54) 

Figure 15. Meta‐analysis results: distribution of social factors of project sustainability (Chapter 5, 
p.55) 

Figure 16. Meta‐analysis results: social factors: typology of community participation (Chapter 5, 
p.59) 

Figure 17. Meta‐analysis results: distribution by typology of women’s participation (Chapter 5, p.61) 

Figure 18. Meta‐analysis results: distribution of studies by geographical regions (Chapter 5, p.63) 

Figure 19. Meta‐analysis results: distribution of studies on women’s participation across 
geographical regions (Chapter 5, p.64) 

Figure 20. Survey results: age distribution of the survey participants (Chapter 5, p.77) 

Figure  21.  Survey  results:  respondents’  opinions  on  years  of  operation  for  sustainable 

projects 

(Chapter 5, p.83) 

Figure 22. Survey results: agreements/disagreements to statements by gender_1 (Chapter 5, p.93) 

Figure 23. Survey results: agreements/disagreements to statements by gender_2 (Chapter 5, p.94)

  viii

LIST OF ACRONYMS USED 

AKF    Aga Khan Foundation 

ACTED    International Non‐Governmental Organization (France) 

CARITAS  International Non‐Governmental Organization (Switzerland) 

DFID    Department for International Development (UK) 

EC    European Commission 

EU     European Union 

GBAO    Gorno‐Badakhshan Autonomous Oblast 

GoT    Government of Tajikistan 

HDI    Human Development Index 

INGO    International Non‐Governmental Organization 

IRB    Research Integrity and Protections 

JICA    Japan International Cooperation Agency 

JMP    Joint Monitoring Program 

MDG    Millennium Development Goals 

MLRWR  Ministry of Land Reclamation and Water Resources 

NGO    Non‐Governmental Organization 

OXFAM GB    International Non‐Governmental Organization (Great Britain) 

RDWS    Rural Drinking Water Supply 

REACT    Rapid Emergency Assessment and Coordination Team 

RT    Republic of Tajikistan 

SDC    Swiss Agency for Development and Cooperation 

SUE KMK    State Unitary Enterprise “Khojagii Manziliyu Kommunali” 

TajWSS    Tajikistan Water and Sanitation Sector 

UN    United Nations 

UNDP    United Nations Development Program 

UNICEF    United Nations Children’s Fund 

USAID    United States Agency for International Developme

nt 

WB    World Bank 

WHO    World Health Organization 

WUC    Water Users Committee 

 
   

  ix

Abstract 

 
N. A. Artyushevskaya, The Role of Women in Sustainability of Donor‐funded Rural Drinking 
Water Supply Projects  in Developing Countries:  A Case Study of Tajikistan,  154 pages, 36 
tables, 23 figures and 16 annexes.

 
 
 

This  study  explores  the  relationship  between  women’s  participation  and  sustainability  of 
community‐managed drinking water supply projects in developing countries and answers a 
question ‐ Does women’s participation contribute to project sustainability? The findings of a 
comprehensive  meta‐analysis  of  all studies  on  sustainability  of  drinking  water  projects  in 
developing counties, published within the 2010‐2013 timeframe, are presented to generate 
an overall picture of the factors responsible for project sustainability and the role of women 
within  the  domain.  The  results  of  a  survey  conducted  among  the  practitioners  on  rural 
drinking  water  supply  projects  in  a  case  study  country  (Tajikistan)  then  compliment  the 
literature  meta‐analysis  with  a  snapshot  on  the  views  of  stakeholders  on  the  role  of 
women’s participation for project sustainability. This study contributes to the growing global 
body  of  literature  on  project  sustainability  in  rural  drinking  water  supply  and  produces 
recommendations  for  better  effectiveness  of  community‐managed  water  projects  in 
developing 

countries. 

 

Key  Words:  project  sustainability,  drinking  water  supply,  rural  water  supply,  women’s 
participation, developing countries, community management.

 
 
 
 

 

N. A. Artyushevskaya 
Candidate for the degree of Master of Science, April 2014 
Richard Smardon, Ph.D., Major Professor 
Department of Environmental Studies 
State University of New York College of Environmental Science and Forestry, 
Syracuse, New York 
 
Signature of Major Professor:______________________________________________ 
 
 
 

1

CHAPTER 1: INTRODUCTION 

1.1 Background 

Water is central to life, key to the growth and development and the question of control and access 

to water resources lies at the heart of water governance. In the present neoliberal economic era, 

important  water  distribution  decisions  are  made  through  market  mechanisms  in  developed 

countries,  while  water  governance  in  the  developing  countries  is  generally  characterized  as 

inefficient  and  underdeveloped.  This  translates  into  the  delayed  departure  from  the  centralized 

systems of management to decentralization and the lack of both governmental capacities to manage 

the  sector  effectively,  thus  making  the  community‐management  model  as  the  only  practical 

alternative  to  the  operation  of  water  supply  by  a  state.  Meanwhile,  the  issues  surrounding  the 

practiced community‐management models of drinking water supply projects in developing countries 

are numerous and sustainability of such projects remains as one of the most critical issues. 

The success rate of implementing drinking water projects in developing countries is quite low 

and  the  critique  surrounding  the  development  initiatives  being  unsustainable  remain  significant 

(Dunmade, 2002). As early as in 2000, a WHO/UNICEF (2000) assessment concludes that 70% of rural 

water supplies in Africa remain non‐functional at any given time. The 1

0

th
 Five‐Year Plan of Nepal 

states that “many projects are completely non‐operational and many are partially operational”; the 

National  Water  Assessment    for  Mozambique  names  sustainability  as  “the  rural  water  sector’s 

biggest problem and reports that only 21% of projects are operating as designed” (Barnes, 2009:15). 

Furthermore,  Moe  and  Rheingans  (2006:53)  say  that  the  world  is “littered  with  failed  water  and 

sanitation  projects”.  Meanwhile,  the  efforts  and  resources  needed  to  maintain  existing 

infrastructure are enormous. According to some estimates “the cost of maintaining existing services 

totals an additional US$322 billion
1
 for water supply” or US$54 billion annual equivalent both for 

water and sanitation maintenance (Hutton & Bartram, 2008). 

1
 The estimate was made in 2007 to calculate the total costs for the maintenance of existing infrastructure to meet MDGs 
in 2015 

 

2

The question of  ‘How to make drinking water supply projects more sustainable?’ has been 

occupying minds of scientists and practitioners within the past few decades, which is translated into 

the  development  and  application  of  various  community‐managed  program  strategies  and 

approaches  to  project  implementation.  Yet,  the  debate  on  the  effectiveness  of  the  community‐

managed model still remains acute nowadays and lacks rigorous scientific evidence. The strategies 

of ‘community management’ or ‘demand‐responsiveness’ in drinking water supply first emerged in 

1990s,  implying the  imperative of community participation practices for project effectiveness and 

sustainability,  that  subsequently  was  extended  to  encompass  the  strategies  of  women’s 

empowerment and participation (Whittington, et al. 2009). A demand‐responsive approach implied 

“that sustainable water systems at community level can be only achieved if people are provided with 

the  level  of  service  they  want  and  are  able  to  pay  for”  (Moriarty,  Butterworth,  &  van  Koppen, 

2004:49). 

Despite some criticism of these approaches (Oakley, 1991; Kleemeier, 2000; Lockwood, 2003), 

the  demand‐responsive  model  still  remains  a  common  strategy  for  most  rural  drinking  water 

programs that are being currently implemented in developing countries (Harvey & Reed, 2006). It is 

still believed that approaches to water and sanitation projects that strengthen collective action and 

involve community participation can minimize the burden on women and children and the transition 

to community‐managed systems “can lower considerably the money spent on water” (Allen, Julio, & 

Hofmann, 2006:349). 

Meanwhile, aspects of gender appear little in water governance discourses, though water in 

contemporary  history  has  been  widely  recognized  as  a  gendered  phenomenon.  With  prevailing 

number of male engineers managing the sector, the discourse on the role of women’s participation 

in the effective management and implementation of drinking water projects remains a part of the 

ongoing discussion on sustainable operation of drinking water supply  in rural areas of developing 

countries. 

 

3

1.2 Problem Statement 

With just a few months remaining before the achievements of the Millennium Development Goals 

(MDG) are concluded  in 2015, the sustainability of  invested donor resources becomes one of the 

most  important areas of concern as  it gains more and more attention (WHO/UNICEF, 2012). The 

importance of effectiveness in achieving the MDG water target ,e.g. halving the proportion of people 

without  sustainable  access  to  safe  drinking  water  supply  and  sanitation  (MDG  7),  has  been 

reiterated  in most recent high‐level events,  international commitments and global United Nations 

(UN) reports. For example, the outcome document of the Rio+20, the United Nations Conference on 

Sustainable  Development,  held  in  Rio  de  Janeiro  in June  2012,  reaffirmed  the  importance  of  the 

accountability  for  international  commitments  made  in  the  provision  of  sustainable  safe  drinking 

water supply, appealing for ensuring sustainable water supply services (UN, 2012). Years earlier, the 

United  Nations  Human  Rights  Council  issued  the  resolution  on  “Human  Right  to  Safe  Drinking 

Water” in which the sustainability of services on safe drinking water supply has been recognized as 

an  international  human  right  (UN,  2011).  Lately,  the  global  UN  report  on  the  status  of  access  to 

drinking water supply reconfirmed the importance of sustaining the achievements made during the 

decade in achieving this water goal (WHO/UNICEF, 2013). 

Presently, as the global water target of the MDG 7 has been officially met prior to the deadline 

in  2015.  The  greatest  tasks  for  the  next  decades  are  to  keep  constructed  water  supply  facilities 

sustainably operational.  It has been told that at any given time 30‐60% of existing rural water supply 

systems are  inoperative (Brikke & Bredero, 2003). Project sustainability “is often compromised by 

lack  of  technical  skills,  equipment  or  spare  parts  for  operation  and  maintenance,  and  lack  of 

sustainable  financing  mechanisms  for  recurrent  costs”  (UNICEF,  WHO  2011:47).  Without 

consideration of social aspects and in‐depth analysis of current community‐managed practices, such 

cannot be achieved. Furthermore, it has been argued that MDG on water was gender‐insensitive and 

did  not  work  to  promote  gender  equity.  Thus,  for  example,  Antrobus  (2006:42)  argues  that 

 

4

“women’s subordination and exploitation represents a major barrier to the achievement of most of 

the goals and targets.” 

1.3  Research Questions 

This research attempts to answer the question: Does women’s participation in donor‐funded drinking 

water  supply  projects  in  developing  countries  contribute  to  project  sustainability?  The  research 

question  is  inspired  by  an  interest  to  document  the  opinions  of  practitioners  involved  in 

implementation of drinking water supply projects in a case study country (Tajikistan) on women’s 

participation and project sustainability, as well as produce a comprehensive overview of available 

studies  in  developing  countries.  The  key  research  question  is  underpinned  by  the  following  sub‐

questions: 

(i) What can be generalized about the impact of women’s participation on the project’s 

success? 

(ii) Which  forms  and  components  of  women’s 

participation  are  positively  (or  negatively) 

associated with project sustainability?  

(iii) Do  practitioners  on  rural  drinking  water  supply  believe  that  women’s  participation 

positively 

contributes to project sustainability? 

1.4  Justification 

While  women’s  involvement  and  participation  is  generally  advisable  for  the  effective 

implementation of drinking water projects (Regmi & Fawcett 1999; Gross, van Wijk & Muckerjee, 

2000),  how  women’s  participation  contributes  to  project  sustainability  remains  unclear.  Some 

literature has been produced on aspects and constituents of project sustainability in the context of 

community  participation.  Fewer  country‐specific  studies  discuss  exclusively  the  role  of  women  in 

effective project implementation and management (Bhandari, Grant, & Pokharel, 2005; Aladuwaka 

& Momsen, 2010; Oluyemo, 2012). Nevertheless, available knowledge  lacks a critical overview of 

produced studies that generalize factors responsible for project success and particularly 

the role of 

women. Recently Hunter, Zmirou‐Navier, and Hart (2009) states that there “there should put more 

 

5

effort into auditing whether interventions are sustainable” (p. 2021), while the “audit process should 

include research into the nature and causes of failure” (p. 2624). 

The present research  is assumed to fill the existing gap with a comprehensive and rigorous 

cross‐study  analysis  on  the  critical  factors  of  project  sustainability  and  the  impact  of  women’s 

participation. In addition, by discussing the opinions of practitioners on rural drinking water supply 

in  a  case  study  country  (Tajikistan),  it  is  expected  to  elucidate  the  components  of  women’s 

participation that are believed to contribute to project sustainability.  

The  results  of  this  study  are  based  on  the  three  merits  of  “conceptual  innovation, 

methodological rigor and rich substantive contents” (Pzreworski & Salomon, 1998:1). They clarify 

the  role  of  women’s  participation  for  project  success  and  the  importance  of  community‐

participation  in  general.  The  research  findings  contribute  to  the  global  body  of  literature  on  the 

sustainability  of  rural  water  supply,  as  well  as  generate  practical  recommendations  for  the 

implementation  of  sustainable  donor‐funded  drinking  water  supply  projects  in  the  developing 

countries. 

1.5  Conceptual terms and definitions 

The  section  below  summarizes  definitions  of  frequently  used  terms  discussed  in  the  present 

research.  

Developing countries as classified by the World Bank (WB) are all  low‐ and middle‐income 

countries, defined mainly based on the gross national income (GNI) per capita (WB, 2014). According 

to the WB classification the current list of low‐ and middle‐income states with developing economies 

is comprised by 139 countries of Sub‐Saharan Africa, South Asia, Middle East and North Africa, Latin 

America and the Caribbean, East Asia and Pacific regions and represent the majority of countries in 

the world 
2
.  

2
 WB  Country  and  Leading  Groups:  http://data.worldbank.org/about/country‐classifications/country‐and‐lending‐

groups#Low_income.  Since  the  available  studies  on  the  sustainability  of  donor‐funded,  community‐managed  drinking 
water  projects  are  limited  (as  community‐managed  model  is  practiced  only  in  some  developing  countries  and  similar 

  6

Donor‐funded  projects  are  projects  implemented  with  (full  or  partial)  financial  support  of 

local or international donor agencies. These projects generally may also include some contribution 

from  local or state government, or  local communities, however such are usually characterized by 

financial assistance provided from the donor side, without which the implementation of the projects 

would not be possible.  

Rural  drinking  water  supply  projects  include  small  and  medium‐scale  water  systems, 

constructed  in  rural  areas  with  the  purpose  of  providing  access  to  clean  drinking  water.  The 

definition of  drinking water supply projects  is  largely based on the UNICEF/WHO classification of 

improved water supply (piped water, tube‐wells or boreholes, protected dug wells and springs, and 

rainwater
3
),  defined  as  projects  “protected  from  outside  contamination,  in  particular  from 

contamination with fecal matter
4
.” 

Project sustainability encompasses a wide range of components and constituents (see section 

3.3).  For  the  purpose  of  this  study,  project  sustainability  is  operationalized  as  providing 

uninterrupted  access  to  drinking  water  supply  to  consumers  during  the  whole  designed 

project 

lifespan
5
 and/or beyond. Project sustainability, project success and project effectiveness are used 

interchangeably and a water supply project is considered sustainable when it remains in operation 

during  the  whole  designed  project  lifetime  or  beyond.  The  failure  of  a  project  would  imply  the 

opposite to the above, i.e. inability of the project to maintain its operations as initially designed and 

remain in operation during the whole designed project lifetime and beyond.  

Community  implies  a  group  of  people  living  in  the  same  place  or  having  a  particular 

characteristic  in  common.  Community  participation  envisages  involvement  of  male  and  female 

community  members  in  the  planning,  construction,  and/or  operation  and  maintenance  of  rural 

studies have been not conducted in every developing country), the actual list of developing countries with studies included 
into the analysis is expected to get significantly shorter.
3
 JMP Classification of types of improved/drinking water supply: http://www.wssinfo.org/definitions‐methods/watsan‐
categories/
4
 JMP definition of improved drinking water projects: http://www.wssinfo.org/definitions‐methods/  

5
 The  lifespan  of  the  projects  is  defined  individually  depending  on  the  engineering  solution  and  country  context,  thus 
cannot be defined/specified at this stage. 

  7

drinking water supply projects. Participation in projects can vary from short‐term (e.g. choosing site 

for construction) to long‐term (maintenance of a system after the construction) and segregated into 

two  main  categories,  i.e.  (a)  before  and  during  project  construction,  and  (b)  during  project 

maintenance upon completion of construction. 

Community‐managed  projects  represent  projects  that  are  implemented  (constructed)  with 

the  direct  participation  of  local  community  members  and  managed  by  the  members  of  the  local 

community.   Community‐management  implies a bottom‐up approach, where community assumes 

control  (managerial,  operational  and  maintenance  responsibility).  Community  management  has 

been defined as a form of community participation, as management through democratically elected 

representatives  of  community  (Wood,  1994);  and  when  beneficiaries  of  the  service  have 

responsibility, authority and control over development of water services (McCommon, Warner, & 

Yohalem, 1990). 

Feminist political ecology is a study that “seeks to understand and interpret local experience 

in the context of global  processes of environmental  and economic change… [and] deals  with the 

complex context in which gender  interacts with class, race, culture and national  identity to shape 

our  experience  of  and  interests  in  the  environment”  (Rocheleau,  Thomas‐Slayter,  and  Wangari, 

1996:5). 

Gender is a social construction (rather than biological necessity), which divides up objects into 

masculine  and  feminine  categories.  Gender  identities  the  intersect  with  other  aspects  of  social 

stratification, as class, ethnicity, age, marital status or religious beliefs, and are not simply about 

women or men (Ahmed and Zwarteveen, 2012). 

Woman is an adult human female, as per the definition of Oxford Dictionary. For the purpose 

of this study women imply female members of rural communities with constructed drinking water 

supply projects. Adulthood refers to the legal adult age, which varies among different countries, but 

normally set at 18 years of age. 

 

8

Women’s  participation  implies  different  activities  that  envisage  women’s  involvement  and 

empowerment  at  different  project  stages,  such  as  project  planning  and  design,  implementation, 

operation  and  maintenance,  and  monitoring.  Key  typologies  are  categorizations  of  women’s 

participation  can  be  found  similar  to  ‘community  participation’  (see  above  ‘community 

participation’).  

 

 

9

Figure 1. Geographical map of Tajikistan. Source:  
the Times of Central Asia (www.times.kg) 

CHAPTER 2: COUNTRY CONTEXT 

2.1  Country Profile 

Tajikistan is a landlocked country, located in the  

Central  Asian  region  and  borders  with  

Afghanistan  in  the  south,  China  in  the  east, 

Kyrgyzstan  in  the  north  and  Uzbekistan  in  the 

west (Figure 1). This developing country with the 

total  area  of  142,600  km
2
,  93%  of  which  is 

covered with mountains, is home for 7.9 million 

people
6
 with  over  70%  living  in  rural  areas 

(UNDP 2012). 

A  former  Soviet  Union  state,  governed  under  the  communist  political  structure,  Tajikistan 

emerged as one of the constituent republics of the USSR during the early Soviet period of national 

delimitation (Heathershaw & Herzig, 2011). After the collapse of the Soviet Union and brutal civil 

was in 1991‐92, a new state that formally gained independence continued to be subject to foreign 

military intervention to interfere in domestic politics. Today, the young state with only twenty years 

of  independence still have much  inheritance from the Soviet times, conditioned by old‐fashioned 

governing  practices,  and  social  traditions,  where  men  usually  take  dominant  roles.  The  state’s 

secularity  affirms  patriarchal  character  and  is  very  much  influenced  by  Islamic  discourse  and 

significant attention to patriarchy in the history of this country suggests the relevance of ‘gendered 

nature of statehood’ (Heathershaw & Herzig, 2011:13). 

Furthermore, the recovery from the devastating civil war during 1992‐1997 still echoes with  

an  unstable  political  situation
7
 in  the  country  that  impedes  economic  development  and  social 

wellbeing.  One  of  the  legacies  of  the  prolonged  civil  war  is  a  deteriorating  water  supply 

6
 IndexMundi Tajikistan Demographics Profile 2013: http://www.indexmundi.com/tajikistan/demographics_profile.html  

7
 Military operations have been unfolded in GBAO on 24 July 2012 (http://aidnews.org/tajikistan‐statement‐of‐the‐united‐
nations‐regional‐center‐for‐preventive‐diplomacy‐in‐central‐asia‐and‐the‐united‐nations‐in‐tajikistan‐on‐the‐situation‐in‐
khorog‐tajikistan/).

  10

infrastructure, constructed during 1960‐1980s (Rakhimov, 2011). Poor maintenance of the existing 

water supply infrastructure for the last 10‐15 years causes enormous water losses (60‐70%) due to 

leakages in distribution networks (MLRWR, 2006; SUE KMK, 2011). Frequent natural disasters, such 

as earthquakes, flash floods, and droughts seriously disrupt the development in socially important 

service sectors, such as drinking water supply.  Thus, for example, the biggest outbreak of typhoid 

fever in 1995‐96 evolved as a result from a natural disaster (mudflow), caused deaths of over 6,000 

people, which constituted more than 10% of the civil war victims (Carius, Feil, & Tänzler  , 2003). 

Furthermore, one of the most devastating natural emergencies, due to exceptionally cold weather in 

winter 2008‐2009, developed  into a compound crisis, which further damaged the degradrd water 

supply infrastructure, estimated at US$ 850 million (REACT, 2008).  

The present aggravated situation in the country creates numerous gendered issues for Tajik 

men and women. As a result of intensive labor migration of male population from the majority of 

rural areas to the neighboring Russia and Kazakhstan due to high unemployment, more than 60% of 

households are now run by women (Krylova & Safarova, 2013). Meanwhile, this does not facilitate 

the  disconnection  from  long‐practiced  patriarchal  practices  in  the  country.  The  remaining  men 

usually  keep  leading  positions  in  local  public  bodies  due  to  their  privilege  of  having  societal 

connections, better knowledge of state law and local rules (Kasymova, 2005). Women, in turn, are 

more  responsible  for  wellbeing  of  their  families  as  they  have  to  care  of  children,  cooking,  and 

housekeeping, plus water delivery as well. Many women collect water from irrigation canals that are 

often  contaminated  by  fertilizers  and  insecticides.  Lack  of  access  to  water  hinders  women  from 

being involved in governing and political activities, which in turn impacts family income, children’s 

education, and women’s social position (Krylova & Safarova, 2013).

    

 

2.4  Gender equity and women’s roles 

The effects of the transition period triggered by the collapse of the Soviet Union and the subsequent 

civil war have been especially difficult for the female population of the country. More than 25,000 

  11

women were widowed as a consequence of war; women’s workload has  intensified, and remains 

high due to the transitioning economic situation in the country and seasonal migration among male 

workers  (ADB,  2006).  The  latest  country  gender  assessment  conducted  in  2006  reports  the 

continuing vulnerability of women, compounded by exclusion of women from community‐decision 

making, gender stereotypes, discrimination in the  workplace, gender violence, lack of public interest 

to invest in girls education (in rural areas), and higher risks for poor nutrition and maternal health. 

This  situation  has  further  deteriorated  with  men’s  migration  to  Russian  and  other  neighboring 

countries  for  seasonal  jobs,  as remittances remain  as the  most  importance source of  income  for 

many poor households. Tajikistan ranks first in the proportion of GDP earned by remittances as Tajik 

GDP is the most dependent on remittances accounting for 47% of country’s GDP with an estimated 

500,000 men migrating annually to the foreign labor market (Universal Newswires, 2014; WB, 2008). 

This has serious demographic consequences, accounting for an increase of the divorce rate with only 

22%  of  married  women  living  with  their  spouses,  and  a  significant  surge  in  female‐headed 

households of 17 percent, thus leaving women and children behind to carry the burden of survival 

(Table 1).  

Table 1. Labor market status of women in Tajikistan (aged 15+). Source: LSMS (2007), adapted from Shahriari 
et. al. 2009, (LSMS, 2007:19) 

  Employed On job search

Married  15.

6%

0.3%
Living together  22.4% 0.0%
Divorced  26.3% 0.4%
Separated  41.6% 1.3%
Widow  12.2% 0.3%
Single  16.7% 0.

7%

Women  16.1% 0.4%
Men  31.7% 2.

2%

 

Women and girls are often responsible for the burden of fetching water. The latest national 

survey estimated that adult women in 72.7 percent of households bear the burden of fetching water 

from public water points or unprotected water sources (LSMS, 2007). The same survey reports that 

the  burden  of  fetching  water  by  female  children  expands  to  8.2  percent  of  households  with  no 

access to drinking water supplies (Table 2). According to some estimates in Tajikistan, women and 

 

12

girls  spend  on  average  4‐6  hours  daily  for  water  fetching,  which  in  turn  significantly  impacts 

availability  of  women  for  community  activities  and  affects  girl’s  school  attendance  (Krylova  & 

Safarova, 2013). 

Table  2.  Distribution  of  responsibilities  among  household  members.  Source:  LSMS  (2007),  adapted  from 
Shahriari et. al., 2009: 60. 
 
 

Woman  72.7%
Man  10.0%
Female child (<15 yrs) 8.2% Male child (<15 yrs) 3.5% Shared burden 3.9% Pay somebody 1.1% Other  0.5%

 

The latest gender assessment conducted for the Swiss Development Agency (SDC) on drinking 

water programs reports that, despite the general commitment of the government to gender equity 

and role of women in ensuring equal rights and opportunities, the water sector reform policies still 

remain  gender  insensitive  due  to  limited  recognition  of  gender  issues  and  limited  expertise  on 

mainstreaming gender  issues and monitoring (Krylova & Safarova, 2013). The report provides the 

following important findings: 

 Women in rural areas are already involved in economic activities, nevertheless 
they have limited control over assets and resources and their productive role is 
largely underestimated; 

 Labor migration creates a space for the emergence of women’s activism, but 
still leads to an increase in drudgery of women and redistribution of traditional 
roles; 

 Structures established  in the support of gender equity policies  lack adequate 
capacities  and  there  is  a  need  to  pay  attention  to  the  quality  of  women’s 
engagement (Krylova & Safarova, 2013: 8‐10). 

Krylova and Safarova (2013) further argue that current efforts for promoting gender equity 

principles through drinking water supply projects (practiced by many  international NGOs, such as 

CARITAS,  OXFAM,  AKF,  etc),  are  frequently  limited  only  to  the  participation  of  women  in  the 

projects, which does not necessarily lead to their empowerment and decision‐making capacity. They 

report, that the  

… perspectives for transformation of gender roles are bleak if water and sanitation 
interventions emphasize women’s participation… Women’s work  increases as they 

  13

acquire more roles (productive and community role on the top of reproductive role), 
while  men’s  roles  and  responsibilities  are  being  bypassed  (Krylova  and  Safarova, 
2013: 15). 

Although  the  assessment  does  not  shed  light  on  the  role  of  participation  of  women  for 

effectiveness  of  drinking  water  supply  projects,  it  suggests  that  community  and  women’s 

empowerment should not be  limited to the ‘instrumentalized participation’  in those projects, but 

rather should be implemented through integrated participatory approaches. 

   

  14

2.2  Tajikistan’s water sector 

Tajikistan has abundant water resources: thousands of rivers extending over 28,500 km (Figure 2); 

glaciers and lakes occupying over 9% of the total territory; and underground resources estimated at 

18.7 km
3
 of water flow per year (MLRWR, 2010). Named as a home of water resources for the region, 

the  country’s rich  water  reserves  play  an  important  role  for  the  development  of  the  region  as  a 

whole  (MLRWR,  2010:3).  For  example,  60%  of  the  total  water  yield  from  Amudarya  (the  largest 

Central  Asian  river)  to  the  shrinking  Aral  Sea  originates  in  Tajikistan  (CAWater,  2012).  However, 

extensive  irrigation  practices  and  aridity  of  the  region,  as  well  as  conflicting  needs  between 

upstream  and  downstream  countries,  makes  water  one  of  the  most  precious  resources  in  the 

Central Asia (EU, 2010).  

 
 
 
 
 
 
 
 
 

Both underground and surface water resources are used for drinking purposes in the country 

(Bukhoriev, 2010). Actual water withdrawal of the country’s water resources amounts to only 17‐

20%  of  the  total  available  water  storage  with  the  major  portion  supplied  to  the  downstream 

countries (MLRWR, 2010). The  largest domestic water consumer of  local water resources remains 

agriculture (93.9%), with only 2.4% allocated for drinking water supply (Figure 3).  

   
   

Figure 2. Hydrological map of Tajikistan. Source: MLRWR (2010) 

  15

   

  Meanwhile, drinking water supply coverage remains the lowest in the region. The latest JMP 

report indicates 92% for the total improved drinking water supply coverage, whereas in rural areas 

this  constitutes  57%,  including  only  34%  for  piped  connections  (WHO/UNICEF,  2013).  The  latest 

national  survey  on  the  improved  drinking  water  supply  coverage  indicates  even  less  coverage  –

48.6% of nationwide with only 43.4% of households in rural areas having access to household water 

taps,  concluding  that  around  60%  of  the  existing  water  supply  schemes  are  non‐functional  (SUE 

KMK,  2011).  The  same  survey  indicates  that  drinking  water  supply  facilities  in  rural  areas  are 

predominantly  gravity  operated,  whereas  26.4%  of  rural  water  schemes  are  partially  or  fully 

electricity  dependent.  Meanwhile,  it  has  been  projected  that  the  national  drinking  water  supply 

consumption  is  going  to  increase  almost  three‐fold  by  2025  due  to  unsustainable  agriculture 

practices,  growing  population,  and  continuous  degradation  of  the  existing  water  supply 

infrastructure (Figure 4).  

  Current management mechanisms in the water sector in Tajikistan are known as complicated 

and outdated (Bukhoriev, 2010). The actual management methods often  include a mixture of the 

approaches retained from the Soviet times with a flavor of more recent modern reforms. Inoyatov 

(2011:7) argues that “de jure a number of provisions of soviet era are still in effect, de facto there 

are  other  relations  established,  as  well  as  other  mechanisms  operating  within  the  sector”.  Its 

complexity  is  explained  by  the  involvement  of  multiple  actors  and  existing  overlaps  in  sector 

Agriculture

Drinking water
supply

Industry

Fishery

Other

Figure 3. Water consumption by sectors in Tajikistan. Source: MLRWR (2010) 

  16

  

Total 
 

Drinking only 
 

Other household 
water needs 

 

m
ln
 m

3
 

regulation.  Ziganshin  (2007)  counts  more  than  a  dozen  regulators  with  limited  linkages  and 

coordination established between the stakeholders (Ziganshin, 2007).  

 
   
 
 
 

Figure 4. Projected water consumption in rural Tajikistan. Source: MLRWR (2010) 

 

Nevertheless,  with  the  primary  responsibilities  for  the  management  of  the  rural  drinking 

water supply being distributed (until recently) among two state entities, so called ‘Khojagii Manzili 

Kommunali’  (KMK)  and  ‘TojikObdekhot’  (TOD),  and  numerous  community‐based  type  of 

organizations  or  water  users  committees  (WUCs);  this  arrangement  has  undergone  additional 

changes recently that  is discussed  in more detail below (Lloyd‐Williams, 2012). The state entities 

were mainly distinguished by geographical distribution, with SUE KMK being responsible for semi‐

urban areas and small towns and TOD for selected rural areas. In January 2012, SUE KMK became 

the  main  regulator  of  the  drinking  water  supply,  and  thus  is  overseeing  the  duties  previously 

performed by the TOD
8
. The overall picture is obscured by the lack of a well‐defined 

implementation 

strategy.  Lloyd‐Williams  (2012:5)  points  out,  that  “this  decision  may  lead  to  serious  conflict  of 

interests […] where historically the provision of rural drinking water was coming under the remit of 

TOD”. Furthermore, with more recent reforms at the end of 2013, the Ministry of Energy and Trade 

8
 Government of Tajikistan Resolution #679 (31 December, 2011) 

  17

was  reformed  into  the  Ministry  of  Energy  and  Water  Resources  and  now  is  considered  the  key 

agency responsible for the policy side
9
, which does not exclude further reforms in the sector. 

In the meantime, operation of small and medium‐scale water supply schemes by WUCs still 

remains  a  general  practice  in  the  country,  which  lacks  clarity  regarding  issues  of  ownership  and 

accountability  (Lloyd‐Williams,  2012).  This  is  particularly  relevant  to  the  donor‐funded  schemes, 

which  are  largely  implemented  based  on  the  community‐management  model.  Despite  the 

availability of some legislative basis that should regulate the activities of WUCs, the distribution of 

roles  and  responsibilities  in  management  of  the  constructed  schemes  remains  largely  obscure. 

Bukhoriev (2010:32) points out “when the external funding  is over and the project  is completed, 

local  communities  lack  sufficient  resources  and  are  unable  to  effectively  manage  the  system”. 

However, despite these institutional arrangements only 22% of rural drinking water schemes have 

management structures in place, as the latest available national survey revealed (SUE KMK, 2011). 

2.3  Donor Community and Sector Partners 

Limited state budgets for water and sanitation make the role of donor investments very crucial for 

sector financing. The national Water Sector Strategy (2006‐2015), for example, estimated  in 2006 

that the investments required for the rehabilitation of all water supply and sanitation facilities in the 

country to achieve the MDG goals by 2015 were equivalent to over US$ 998 million (MLRWR, 2006), 

whereas only US$ 33 million were ready to be allocated from the governmental budget and the rest 

was expected to be externally financed (Rakhimov, 2011).  

Meanwhile, the donors’ enthusiasm for financing rural water supply seems to wane gradually 

too,  as  “donors  are  cautious  when  it  comes  to  the  rural  water  supply  financing”  (Bukhoriev, 

2010:16).  Lloyd‐Williams  (2012:6)  points  out  that  “increasingly  international  non‐governmental 

organizations (INGOs), such as Oxfam, are being asked to repair water systems constructed only five 

years  earlier”,  which  has  had  an  adverse  impact  on  the  readiness  of  the  international  donors  to 

invest in rural drinking water supply (RDWS) projects. Donor assistance for the water sector seems 

9
 Asia Plus press release, dated on 11/19/2013: http://news.tj/ru/node/177401  

  18

to decline gradually, while the loans decreased since its peak in 2008 (Figure 5). Presently, not more 

than a dozen international donor agencies stay active in the country’s water sector (TajWSS 2012).  

 
 
 
 
 

         

 

In
ve
st
m
en
ts
in
U
S$

Box xx. Water and sanitation sector investments. Source: GoT/UNDP (2011). Figure 5. Water and sanitation sector investments. Source: SCISPM (2013:64) 

  19

CHAPTER 3: THEORETICAL FRAMEWORK 

This  section  proposes  a  theoretical  framework  building  on  feminist  theories  and  introducing 

concepts  of  ‘power’  and  ‘agency’  in  water  governance.  It  provides  an  overview  of  literature  on 

sustainability of drinking water supply in developing countries, introducing concepts and principles 

of project sustainability and project approaches of community participation.  It further provides a 

comprehensive discussion on the theoretical knowledge and past research, providing a contentious 

discourse on participation of women in rural drinking water projects. The summary section attempts 

to integrate the discussed theories and concepts in a succinct analysis.  

3.1  Feminist Political Ecology 

An  emerging  field  of  scholarship  in  gender  and  water,  generally  embedded  in  a  broader  nature‐

society  interaction,  looks  at  the  questions  of  “gender  division  in  labor,  ownership  and  control  of 

productive assets”, “roles, rights and norms that constitute the relations that men and 

women have 

to natural resources” (Sultana, 2009(a):427). The 1990s wave of women’s involvement in collective 

issues of environmental character has brought women to the forefront of issues related to control 

over environmental resources. Largely based on the feminist standpoint theory, implying that men 

and women perceive and understand society differently (Hartsock, 1983), Nancy Hartsock argued 

that “different kinds of women (varying by wealth, ethnicity, or age, for example) have very different 

experiences of life on society, all the while sharing some things in common because of their gender” 

(Babbie, 2013:39). 

The  feminist  theory  and  research  drawing  attention  to  the  oppression  of  women  in  many 

societies, focused on the sex‐role differences of powers and agency and how those relate to the rest 

of social organizations (Babbie, 2013). The sensitivity in variations of female experiences became a 

main element of the third‐wave feminism in 1990s, which further contributed to the feminist theory 

and an establishment of a new field of environmental scholarship – ‘feminist political ecology’. The 

study  of  women’s  activism  in  environmental  arena  encompassing  gendered  power  relations  and 

gendered  control  over  quality  of  environment  has  now  become  a  legitimate  area  of  research  in 

 

20

water  management.  Rocheleau,  Thomas‐Slayter,  and  Wangari  (1996:5)  define  feminist  political 

ecology as a study that “seeks to understand and interpret local experience in the context of global 

processes of environmental and economic change”. They further explain that the feminist political 

ecology  framework  “deals  with  the  complex  context  in  which  gender  interacts  with  class,  race, 

culture  and  national  identity  to  shape  our  experience  of  and  interests  in  the  environment” 

(Rocheleau, Thomas‐Slayter & Wangari, 1996:5). 

The new gendered discourse  is constructed based on two fields of studies of ‘ecofeminism’ 

and ‘political ecology’. While the latter “treats gender as a critical variable in shaping resource access 

and control, interacting with class, caste, race, cultural, and ethnicity”, ecofeminism posits a “close 

relationship  between  women  and  nature  based  on  a  shared  history  of  oppression  by  patriarchal 

institutions” (Rocheleau, Thomas‐Slayter, & Wangari, 1996:1‐2). As initially ecofeminism encouraged 

“an  examination  of  the  ‘closeness’  of  women  and  nature  […]  and  the  consequences  of  this” 

(Hawkins, et al., 2011:238), the analysis has been further expanded as a result of socially constructed 

gendered power relations in environment. 

Rocheleau,  Thomas‐Slayter,  and  Wangari  (1996)  conceptualize  the  framework  of  feminist 

political ecology  in three  broad themes of  ‘gendered knowledge’,  ‘gendered environmental rights 

and responsibilities’ and ‘gendered environmental politics and grassroots activism’. All three themes 

clearly provide an appropriate analytical framework in discussing participation of women in drinking 

water project sustainability (Rocheleau, Thomas‐Slayter, & Wangari, 1996:4‐14):  

 Gendered knowledge “encompasses the creation, maintenance and protection 
of healthy environments at home, at work and at regional ecosystems” (p.4); 

 Gendered  environmental  rights  and  responsibilities  attempts  to  answer  a 
question  of  “who  controls  and  determines  rights  over  resources,  quality  of 
environment” (p.10) ; 

 Gender  environmental  politics  encompass  issues  of  women’s  activism  in 
environmental  issues  and  “women’s  involvement  in  collective  action  of 
environmental change” (p.14), looking at the issues of social movement, local 
political  organizations  and  engagement  in  environmental,  political  and 
socioeconomic struggles.  

  21

Furthermore,  Sultana  (2009(a):440)  points  out  that  the  “conceptualization  of  gender  as  a 

socio‐spatial‐ecological  process  enables  greater  clarity  in  understanding  how  gender‐nature 

relations evolve in any given context” , as the issues of gender, cultural and social variables should 

be understood through the lens of gendered power and agency (Sultana, 2009(a):440).   

3.2   Agency and Power 

Ahmed and Zwarteveen (2012:26) suggest that in order to understand gendered behavior in water, 

we  should  attempt  to  understand  human  behavior,  moving  beyond  simple  mapping  of  gendered 

responsibilities in answering the question of why men and women behave in certain ways and what 

can change the existing practices and behaviour. They assert that the concept of agency is critical in 

understanding water governance, and define agency as “the capacity, or power of people to act, 

which recognises people’s room for maneuver without denying that this room is limited” (Ahmed & 

Zwarteveen, 2012:31).  

The concept of agency helps to understand forces that are beyond people’s influence and is 

critical  in  understanding  actors  as  gendered  beings  in  gendered  social  relations.  In  social  theory 

agency is seen as a capacity or power to act, comprised of self‐consciousness, reflection, intention, 

purpose and meaning (Rapport & Overing, 2000). Thus, agency, the ability of  individuals to affect 

their lives, can be shaped through the power of plural institutional settings, which can be exercised 

both consciously and unconsciously (Kesby, 2005; Cleaver, 2012). As argued by Cleaver, agency  is 

seen  as  “the  capability,  or  power,  to  be  the  originator  of  acts  and  comprises  self‐consciousness, 

reflection,  intention,  purpose  and  meaning”,  as  exercised  in  a  social  world  in  which  “structure 

shapes the opportunities and resources available to individuals” (Cleaver 2012: 42‐43). Furthermore, 

Kabeer  (2000)  points  out  that  exercising  agency  means  not  only  ability  to  exercise  choice,  but  is 

about the real effects of the choices for well‐being. Thus, cultural dimensions, uneven exercise of 

power and effect of agency on different people  is the key  in understanding why management of 

water facilities is experienced differently across different communities. 

  22

The  analytical  framework  proposed  by  Franks  and  Cleaver  (2007)  perhaps  explains  in  the 

simplest way that the constituents of water governance are linked to the concept of ‘agency’. This 

framework consists of five key concepts: resources, actors, mechanisms, processes and outcomes. 

The framework demonstrates, that resources ‐ the materials from which social structures and human 

interactions  are  constructed,  are  drawn  upon  by  different  actors  (state,  institutions,  groups, 

individuals),  constructing  mechanisms  of  water  governance,  for  organizing  access  to  water;  and 

different outcomes or  long‐term changes and trends received from those resources represent the 

processes of water governance (Figure 6).  In other words,  in this framework, resources for water 

governance are transferred  into different outcomes, through specific mechanisms of access and a 

series of processes of management and practice (Cleaver, 2012). 

 
 

 
 
 
 
 
 
 

 
 
 
 
 
 
Figure 6. Framework of Water Governance (adapted from Franks and Cleaver, 2007 in Cleaver, 2012:36). 

 
 

As mechanisms of access are gender‐sensitive and do not exist in a social vacuum, gendered 

dimensions are  important for the analysis of the framework. The gender‐differentiated outcomes 

are explained by the variable gendered capacity to exercise agency in accessing these mechanisms 

(Cleaver,  2012).  Referring  to  the  Giddens’  theory  of  structuration  in  understanding  interactions 

between  social  structure  and  human  agency,  the  concept  of  agency  becomes  central  to 

Resources for water 
governance 

Mechanisms of 
Water Governance 

Gendered outcomes 
(positive or 
negative) 

Ecosystem 
Outcomes 

Actors/agents

Processes of management and practice

  23

understanding collective action, gendered participation and empowerment in answering questions 

such  as  why  some  people  (men  or  women)  are  better  placed  to  shape  public  decision‐making. 

Giddens argues that individuals are motivated by three levels of consciousness: the practical as habit 

and routine of doing things in a certain way, unconscious as underlying psychological and emotional 

motivators,  and  discursive,  where  “individual  reflect  upon  and  explain  their  actions”  (Giddens, 

1984:27).  

Cleaver  (2012:57)  invites  us  to  analyze  the  participatory  initiatives,  such  as  community‐

managed  drinking  water  projects,  through  the  dimensions  of  individual  agency  and  the  existing 

societal  and  institutional  rules  of  water  governance,  however  she  cautions  that  “the  complex 

dimensions of agency and the variable ways  in which people are placed to exercise  it mean that 

generalized assumptions about the outcomes of water governance processes are unlikely to always 

hold true”.  

3.3  Project Sustainability 

As “sustainability is in many ways the ultimate test of development efforts” (Hoque, Juncker, Sack, 

Ali, & Aziz, 1996:431), so, too, the sustainability of drinking water supply projects may be said to be 

the  ultimate  test  of  development  assistance  in  providing  access  to  drinking  water.  The  issue  of 

project unsustainability is not novel and indeed, there have been a number of studies that attempt 

to  explain  the  principles  of  project  sustainability.  Interest  in  the  issues  of  sustainability  of  water 

supply schemes in developing countries has been growing due to the increasing number of degraded 

water supply schemes, constructed with the financial support of donor agencies since the UN Water 

Decade of 1981‐1990 (Briscoe and de Ferranti, 1988). As early as in 1988, Briscoe and de Ferranti 

(1988) argued that one out of four water schemes constructed in the developing countries was non‐

functional. Tremendous effort was made during the decade and the conceptualization of access to 

water within the basic human needs strategy, found little effectiveness of such projects, leading to 

fundamental change of the fundraising roles of donors and governments (WB, 1990). The new role 

implied creation of appropriate environments for communities to take part in the management of 

  24

water  supply  schemes  that  opened  a  new  horizon  for  demand‐responsive,  community‐managed 

model of rural drinking water supply projects (Briscoe and de Ferranti, 1988).  

The scholarly literature provides a variety of definitions on the sustainability of water services 

or  water  projects.  Bamberger  and  Cheema,  for  example,  define  project  sustainability  as  the 

“capacity of a project to continue to deliver its intended benefits over long term” (1990:34). Abrams 

(1996:51) suggests that sustainability is “whether or not something continues to work over time”; 

Carter et al. (1999:7) define sustainability as “whether water continues to be abstracted at the same 

rate and quality as when the system was designed”. Hodgkin (1994:5) provides a narrower definition 

of sustainability by arguing that a sustainable project is the one that “maintains or expands a flow of 

benefits  at  a  specified  level  for  a  long  period  after  external  funding  has  been  withdrawn”. More 

recent definitions frame sustainability as “the continued service of water supply projects over time 

to serve their own purposes” (Admassu, Kumie, & Fantahun, 2003:223), whereas “water schemes 

are  sustainable  when  they  meet  performance  requirements  in  the  long  run”  (Binder,  2008:4). 

Lockwood, Bakalean  and  Wakeman (2005:6) point  out that  across different definitions  of  project 

sustainability, the fundamental aspect of sustainability of water projects in the developing countries 

is “the ability to manage on its own without the aid of external support”. Esposto says: 

Sustainability  is  defined  as  a  long‐term  duration  without  external  support  for  the 
project implemented. Achieving this is possible if consideration is given to the costs of 
running and maintaining the project, and how the solution or technology proposed 
will match with the local environment. The ultimate goal is to make the project and its 
beneficiaries independent of the need for further external help (Esposto, 2009: 258) 

 
Dimensions  of  sustainability  can  be  broadly  categorized  into  five  major  areas:  (i)  technical, 

(ii) financial, (iii) institutional, (iv) social, and (v) environmental (WELL, 1998). Across different studies 

the first three dimensions of sustainability are viewed as the most relevant to project 

sustainability 

for rural drinking water supply. Components that comprise sustainable water services as defined by 

Carter et al. (1999) are termed as a sustainability chain. He argues that four essential components 

form the chain that includes motivation, maintenance, cost recovery and continuing support, which 

  25

are closely interlinked. According to Carter, weaknesses in any one of them can lead to a failure of a 

scheme in continuing the provision of drinking water supply services.  

A  substantive  body  of  literature  discusses  the  issues  of  sustainability  of  the  ‘community‐

managed, demand‐responsive’ model of  implementing water supply projects, however, just a few 

studies explore rigorous methods of evaluating sustainability (Stirman, et al., 2012). Some argue that 

there  is  little  solid  evidence  on  positive  correlations  between  sustainability  and  community 

participation (Prokopy, 2005; D. Whittington, et al., 2009). While early studies have demonstrated 

positive  effects  from  community  contribution  of  cash  for  project  capital  costs  (Rowland,  1978), 

subsequent  studies  argued  that  participation  in  decision‐making  processes  have  more  positive 

attributes  to  project  success  (Narayan,  1995;  Sara  &  Katz,  1998).  Nevertheless,  some  studies 

precaution  that  the  involvement  of  community  members  does  not  guarantee,  by  itself,  project 

success or sustainability (Kleemeier, 2000; Prokopy, 2005; Whittington, et al., 2009). 

3.4  Community Participation 

Community  participation  in  drinking  water  supply  projects  became  a  common  strategy  with  the 

International Drinking Water Supply and Sanitation Decade  in the 1990s, which drew attention of 

large‐scale  technocratic  water  systems  to  the  construction  of  small‐scale  and  community‐based 

solutions. This was a big paradigm shift, as participatory management became the policy mantra in 

water  projects  and  so  and  many  methodologies  and  guidelines  were  developed  promoting 

participatory strategies in water projects (Cleaver, 1999). This new approach implied recognition of 

agency of community members – users of drinking water schemes, as well as implied better design 

for local needs and circumstances, limiting the role of government to regulating and enabling, rather 

than  directly  providing  water.  Policy  attention  became  focused  on  ways  of  including  women  in 

planning, design and management of water projects, based on the spirit of equity and democracy, 

shifting from technocratic to a more neoliberal policy climate  in the 1990s (Wijk, 2001). The new 

paradigm  shift  was  also  underpinned  by  the  idea  of  making  water  projects  more  efficient  and 

  26

sustainable and quickly became a part of a broader agency or water sector privatization (Zwarteveen 

& Ahmed, 2012). 

The  approach  of  community  participation  as  sometimes  called  a  ‘demand‐responsive 

approach’ to water project development and emerged as a concept after the UN Water Decade and 

promoted greater participation of beneficiaries, including women, in project activities (WB, 1990). It 

remains  a  common  strategy  for  most  donor‐funded  project  interventions  in  rural  areas  of 

developing  countries  (Harvey  &  Reed,  2006).  This  approach  suggests  management  at  the  lowest 

appropriate  level,  where  community  participation  is  imperative.  In  other  words,  community 

participation has become a prerequisite of the demand‐responsive model and has been considered 

essential for the success or sustainability of drinking water supply projects in developing countries 

(Narayan, 1995).   

Participation involves different processes and may be comprised of various activities. Narayan 

(1995)  proposes  levels  of  community  participation  segregated  into  seven  groups,  ranging  from 

information sharing to community control in decision‐making. Prokopy (2005) separates community 

participation into three broad levels. The (i) low level includes different forms of contribution (labor, 

cash, materials), (ii) the middle level assumes participants are involved in decision‐making, and (ii) 

the upper level is achieved when communities undertake their own initiatives and are in full control 

of the project. Schouten and Moriarty (2003) argue that achieving successful participation assumes 

involvement  in higher  levels of decision‐making and should not be  limited to the participation  in 

construction  works.  Admassu,  Kumie,  and  Fantahun  (2003:227)  highlight  that  “community 

participation  in  its  various  forms  consisting  mainly  of  labor,  cash,  service,  kind  and  advice 

contribution is crucial and decisive for developing and using water supply projects”. 

Despite some encouraging examples, when participatory management of water resources was 

effective, there have always been critiques and counterpoints. It has ben argued that “increasing the 

number  of  women  involved  in  participatory  projects  cannot  […]  be  seen  as  a  soft  alternative  to 

specific attention to change gender inequality” (Mayoux, 1995:235). Approaches to the participatory 

  27

management of water resources tend to overlook the complexities of individual identities or agency 

of individuals, and fail to categorize people in their taxonomic groups. Cleaver (2012:48) says that “it 

is  difficult  to  anticipate  which  aspects  of  people’s  identities  will  be  prominent  in  particular 

mechanisms  for  water  governance”.  She  points  out  that  the  tendency  to  assume  that  people 

following similar practices will be equally placed to shape their practices  is not the case  in water 

management.  The  decision‐making  power  and  the  ability  to  mobilize  and  allocate  resources  is 

different for men and women, who perform similar tasks  in the household (and community) and 

have similar interests in the resource. 

3.5  Women’s participation 

Dominant  water  discourses  continued  to  frame  water  problems  in  isolation  from  gender,  and 

attention  to  gender  issues  and  gendered  differentiations  in  governance  is  relatively  recent 

(Zwarteveen & Ahmed, 2012). Prior to the 1980s, the focus of global development effort has been 

concentrated  on  strengthening  the  centralized,  government‐run  public  sector.    The  sector, 

dominated largely by male engineers is lacking the recognition of the importance of both male and 

female  participation  in  water  projects,  and  thus  women’s  participation  was  often  overlooked  in 

water policies of the 1960‐70 decade (Coles & Wallace, 2005). The importance of looking at water 

problems  through  the  lenses  of  gender  is  gaining  ground,  and  the  incorporation  of  gender 

considerations became an integral part of water policies and project design relatively recently. For 

example, gender‐differentiated needs are commonly recognized in UN policies and statements, as 

“countries must ensure that policies and institutions for water supply and sanitation service delivery, 

as  well  as  for  water  resources  management  and  development  respond  equally  to  the  different 

needs, and priorities, of men and women” (United Nations, 2005:18). Contemporary recognition of 

women’s  role(s)  has  been  largely  expressed  in  numerous  women’s  organizations  established 

predominantly due to the pressure from donor agencies over the last thirty years.   

  28

The  marginalized  role  of  women  historically  have  been  conditioned  by  little  formal  control 

over water resources, as allocation of water (and land rights) often tend to favour men (Ahmed & 

Zwarteveen,  2012).  Thus,  though  women  have  important  water  responsibilities  (collecting  water, 

watering cattle or managing water facilities), their lack of formal rights to water becomes a serious 

obstacle  to  effective  water  management  (Ahmed  &  Zwarteveen,  2012).  Access  to  control  and 

management of water resources may be shaped by local cultural beliefs, when the latter influences 

the individual willingness to abide by collective decisions and norms on resource use. For example, 

in some villages of Zimbabwe, women’s non‐participation in local water committees was explained 

by  belief  that  local  witch‐crafting  shaped  the  women’s  unwillingness  to  speak  out  (Dikito‐

Wachmeister, 2000). Makoni, Manase, and Ndamba (2004:1291) in studying patterns for domestic 

water use in rural Zimbabwe conclude the different roles and incentives in water use of women and 

men was demonstrated in how they ranked the benefits: 

The  apparent  universal  responsibility  by  women  in  water  management  at  the 
domestic level  is pointer to water and sanitation practitioners that future programs 
need  to  target  women  as  one  of  the  strategies  for  improving  livelihoods  and 
sustainability  of  water  resources  management.  The  reality  is  that  women  has  an 
active role in management of water resources but surprisingly they have no much say 
in  public  decision  making  for  implementing  water  supply  and  sanitation  programs. 
(Makoni, Manase, and Ndamba, 2004:1294) 

 

A  first  impetus  to  incorporating  gender  in  water  management  was  gained  with  the  UN 

announcing Decade for International Drinking Water and Sanitation  in 1981, with the subsequent 

international conferences acknowledging the role of women in water management, particularly  in 

household  and  community  (Ahmed,  2005).  In  1992,  the  UN  Conference  on  Environment  and 

Development  produced  a  comprehensive  action  plan  (Agenda  21)  that  explicitly  emphasized  the 

need for women’s participation in water projects and dedicated a whole chapter to women titled 

“Global Action for Women towards Sustainable and Equitable Development” (UN‐ECOSOC, 1992). 

The  same  year,  the  Dublin  Conference  on  Water  and  Sustainable  Development  developed  four 

  29

principles (known as Dublin Principles) that became cornerstones of international water policy, and 

included: 

 Water  development  and  management  should  be  based  on  a  participatory 
approach, involving users, planners and policy makers at all levels; 

 Women play a central part in the provision, management and safeguarding of 
water (WMO, 2014). 

Gender  issues  and  particularly  the  importance  of  women’s  participation  started  to  gain 

legitimacy  and  became  explicitly  discussed  within  major  global  water  policy  documents  and  at 

international  water  meetings.  It  has  been  widely  recognized  that  the  provision  of  water  and 

maintenance of family well‐being relate closely to gender issues in many developing regions, such as 

South  Africa,  where  over  75  percent  of  the  very  poor  households  are  headed  by  women 

(Hermanowicz,  2008).  The  major  global  water  conferences,  such  as  World  Water  Forums  or 

Stockholm Water Week are devoted, for the first time in history, to special sessions on the issues of 

gender  and  women  in  water.  Likewise,  many  developing  countries  (with  the  guidance  of  donor 

agencies),  for  example  in  South  Asia  and  South  Africa  regions,  have  adopted  gender  aspects  in 

national  water  policy  documents.  However,  the  importance  of  participation  of  women  in  water 

projects  gained  more  visibility  in  water  policies,  primarily  as  an  “underutilized  resource” 

(Zwarteveen & Ahmed, 2012). Such is now seen as a valuable resource, “an important ingredient of 

social  capital  that  could  be  mobilized  to  render  (water)  operations  more  effective  and  efficient” 

(Molyneux, 2002:235). 

Since  the  mid‐1990s,  project  strategies  on  lending  a  greater  role  to  women  or  women’s 

empowerment  have  become  an  important  part  of  the  ‘demand‐responsive,  community‐managed 

model’, and gender issues continue to be incorporated in water policies across different regions and 

nations, with most of them including statements about gender (Ahmed & Zwarteveen, 2012). This 

new  gender‐sensitized  water  agendas  look  for  new  ways  of  managing  water  resources  through 

decentralized  institutions of governance, such as community‐based organizations. Women, as the 

representatives  of  marginalized  groups  of  communities,  get  representative  quotas  in  such 

committees.  The  latter  is  made  with  an  intention  to  improve  water  governance  through  better 

  30

democracy and equity mechanisms, as there is a dominant assumption that participation of women 

in  water  resource  management  is  empowering  for  them,  and  thus  leads  to  gender‐equitable 

outcomes (Cleaver, 2012). The tendency of incorporating gender perspectives into regional, national 

and  local water resource management strategies has been underpinned by evidence discussed  in 

emerging studies on the positive effect of women’s participation, that was generally seen as a step 

towards equity and democracy. For example, Hoque, Juncker, Sack, Ali, and Aziz (1996:435) argued 

that  “women’s  participation  with  the  support  from  the  community  contributed  towards  the 

sustained  impact”,  and  “involvement  of  women  with  the  support  of  men  and  the  community 

probably generate a positive attitude among the whole community towards  improving water and 

sanitation”. 

 Over the past decades, numerous gender analysis tools and strategies have been developed 

to design and evaluate projects in an effort to improve project sustainability. One such example is 

the SEAGA tools (Social‐Economic and Gender Analysis tools), developed by the United Nations Food 

and  Agriculture  Organization  (UNFAO)  in  1990s  (Ahmed  &  Zwarteveen,  2012).  Tools,  like  SEAGA 

were designed to understand gender relations for better planning and management of projects. The 

general strategies to involve and empower women in water delivery and management, that were 

incorporated in many program strategies, have been clearly summarized by Duncker: 

 Women  should  be  more  involved  in  planning  and  operations  as  part  of  a 
strategy to build a more equitable society; 

 Their involvement should be more than labour, and include access to resources, 
decision‐making and management; 

 Care  should  be  taken  not  to  overburden  women  and  to  automatically 
perpetuate and reinforce the traditional roles of women; and 

 Gender approach to development needs to be worked out (Duncker, 1998:37) 

Gender  analyses  tools  and  strategies  have  attempted  to  show  that  women  have  a  special 

relation  to  water,  as  they  have  primary  responsibility  for  domestic  work  (Ahmed  &  Zwarteveen, 

2012). Along with other household work, such as cooking, washing and cleaning, women  in poor 

rural communities of developing countries remain primary responsible for water delivery. Evidence 

suggest that women and girls spend seven hours per week in India; five hours a week in Nepal; and 

  31

two  to  five  hours  daily  in  Bangladesh  for  water  fetching  (Crow  &  Sultana,  2002;  Ahmed  & 

Zwarteveen, 2012). Marobhe, Renman, and Jacks (2007:118) in their study of water supply in rural 

Tanzania found that “women spend more energy and time in water collection activities than men” 

and  are obliged to walk a distance of 2 to more than 7 km to different water sources within a day. 

This is reported to be a main reason of severe back problems for women who happen to be the main 

water collectors in many communities (Howard & Bartram, 2003). 

Nevertheless,  mainstreaming  gender  in  water  resource  management  while 

implementing 

gender‐sensitive strategies remains a challenge. Achieving real gender equity in control and access 

of  water  is  extremely  difficult  due  to  cultural,  religious  or  traditional  considerations.  Thus,  in 

practice, women mainstreaming is often limited to the question of number of participating women 

or quotas, which does not de facto mean better gender equity or greater women’s 

participation in 

the  actual  decision‐making  processes  (Ahmed  &  Zwarteveen,  2012).  In  other  words,  project 

implementation tends to  complete a certain checklist (e.g.  invite more women, organize gender‐

sensitive  training,  etc),  rather  then  striving  to  improve  gender  relations  in  water,  which  requires 

enormous  efforts  (Mukhopadhyay,  2007;  Walby,  2005).  The  recognition  of  gender  issues  on  the 

‘paper’  in policies and  in the actual projects has been argued to remain disintegrated, as “gender 

remains  very  much  a  side  issue  […]  and  is  not  yet  seen  as  belonging  to  the  core  of  water 

management” (Ahmed & Zwarteveen, 2012:21). Thus, participation of women is sometimes argued 

to be  ‘reservation policy’  in many communities,  limited to a number of women participating  in a 

project, taken as a ‘proxy presence’ (Arya, 2007:199). Arya argues, by taking a normative stance, that 

instead women’s participation should “make them an integral part in the decision‐making process 

and sense of belongingness to the development programs” (Arya, 2007: 199). Furthermore, barriers 

associated  with  women’s  participation  in  project  implementation  are  often  surrounded  by  socio‐

economic and cultural barriers as distinctly summarized by Murphy, McBean, and Farahbakhsh may 

include (2009, pp 161‐62) (i) women may be prevented from using certain types of machinery, (ii) 

women  may  not  be  able  to  leave  their  homes  without  their  husbands,  (iii)  women  may  not  be 

  32

permitted  to  get  training  without  permissions  of  their  husbands,  (iv)  women  may  have  limited 

access to funds, (v) women may not be regarded as equal to men in many cultures, and (vi) women 

may be generally less educated than men as they are often removed from school at a young age. 

Gender and women’s participation continue to be a side issue and Gender and Water Alliance 

(GWA) reports that still “few policies to date adequately address gender issues” (GWA 2003:11). It 

has  been  pointed  out  that  “most  water  supply  projects  have  drawn  on  women’s  labour  without 

enhancing their technical and managerial skills” (Green, Joekes and Leach, 1998:265). Additionally, 

some  other  evidence  is  added  to  the  criticism  of  inappropriate  women’s  involvement.  Thus  for 

example, Narayan (1995) in an analysis of 121 water supply projects found that only 17% achieved 

high  levels  of  women’s  participation,  which  however  did  not  imply  that  women  were  active 

participants. Jones (2011:63) importantly points out that “women’s ability to participate is severely 

reduced even when NGO or local government considers them as officially included”. According to 

him this is created by participatory exclusions “because it is a job of men (and the committee) to 

bring water ‘to the village’, but the task of women is to bring it ‘to the home’” (p.63). Kendie (1996), 

in  linking  gender  issues  and  utilization  of  water  supply  source  with  sustainability,  argued  that 

instituting the utilization of water supply source has to do with the economic status of women, by 

pointing out “poverty consigns women to long periods of work in activities or jobs that bring little 

reward. This […] limits the extent of usage of the safe water facilities” (p.11). 

Thus, women’s participation in drinking water projects became a highly contested issue, as the 

literature provides a dual evidence base of positive effect of women’s participation, which however 

does not necessarily lead to project improvements (Prokopy, 2004; Sultana, 2009). The fundamental 

critiques of the participatory bottom‐up approaches and women’s participation sometimes termed 

as tokenism (Prokopy, 2004; Sultana, 2009; Singh, 2006) as “the myths of communities as coherent 

and  cohesive  bodies,  the  fundamental  lack  of  resources  and  the  often  critical  lack  of  knowledge 

about the actual process and how to successfully facilitate” (Smith, 2008:353‐54). 

  33

3.6  Summary 

In  addressing  the  issues  of  gender  and  environment,  the  discourse  of  gendered  power  relations 

come at the forefront of resource use as “inspired by an  interest  in environmental  issues and an 

understanding that these issues are gendered in complicated and important ways” (Hawkins, et al., 

2011:237).  The  field  of  feminist  political  ecology,  power  and  agency  provide  a  conceptual  and 

theoretical  umbrella  calling  for  understanding  gendered  rights  and  responsibilities,  knowledge 

production  and  politics,  as  well  as  gendered  power  dynamics  in  everyday  lives    (Hawkins,  et  al., 

2011:238). Inequalities in gender relations in managing drinking water supply schemes in rural areas 

involves understanding of local power relations, and agency of individual actors.  

Women’s participation in drinking water projects present an example of gendered inequalities 

in  water  management,  control  and  access,  when  the  “participation  in  water  projects  holds  the 

promise of being meaningful only if it involves awareness about and commitment to reducing the 

inequality of socially allocated roles and responsibilities for water” (Joshi & Zwarteveen, 2012:162). 

Assessing  participation  of  women  via  gendered  power  relations  lens  requires  understanding  of 

gendered  knowledge,  gendered  environmental  rights  and  responsibilities,  and  gendered 

environmental  politics,  as  discussed  by  Rocheleau,  Thomas‐Slayter,  and  Wangari  (1996). 

Furthermore,  the  analysis  of  gender  in  local  water  governance  should  not  be  limited  to 

understanding women’s participation as a homogeneous phenomenon, thus, considerations of class, 

race, culture and ethnicity are often desired. 

Thus, the proposed theoretical framework of gender‐environmental relations and gendered 

exercised power and agency, that are often shaped by plural institutions, have material and symbolic 

effects  on  understanding  “how  environmental  resources  and  responsibilities  are  managed  and 

distributed”  and  “how  gendered  power  dynamics  […]  play  out  in  the  day‐to‐day  lives of  people” 

(Hawkins, et al., 2011:237). The analytical framework of ‘resources, actors, mechanisms, processes 

and outcome’, as discussed by Franks and Cleaver (2007) may facilitate the discussion of findings of 

the  present  study,  as  well  as  future  gendered  discourse  in  environmental  management.  In  the 

  34

meantime, while some evidence suggests that the participation of women tend to produce more 

positive outcomes, the involvement of women in community water governance remains a challenge 

and  the  discourse  is  surrounded  by  a  magnitude  of  controversies.  Thus,  the  link  between 

participation of women and sustainability of the projects of drinking water supply  is not yet well‐

established  in  the  existing  research  that  demands  seeking  a  greater  understanding  of  the 

phenomenon. 

   

  35

CHAPTER 4: METHODOLOGY 

4.1  Research Design 

4.1.1  Research Question and Hypothesis 

This descriptive and explanatory research aims at analyzing the effects of women’s participation to 

the  sustainability  of  community‐managed  drinking  water  supply  projects  and  explaining  why 

participation of women is considered to be associated with a success/sustainability of drinking water 

projects.  The  key  research  question  “Does  women’s  participation  in  donor‐funded  drinking  water 

supply projects in developing countries contribute to the project sustainability?” is underpinned by 

the following three research sub‐questions: 

(i) What can be generalized on the impact of women’s participation to project success? 

(ii) Which  forms  and  components  of  women’s  participation  are  positively  (or  negatively) 
associated with project sustainability?  

(iii) Do practitioners on rural drinking water supply believe that women’s participation positively 

contributes to project sustainability? 

Based on the deductive reasoning perspective of theoretical knowledge and past research on 

participation  of  women  in  drinking  water  supply  projects,  it  is  hypothesized  that  participation  of 

women in projects positively contributes to project sustainability. Thus, each research sub‐question 

is hypothesized by the following sub‐hypothesis: 

(i) Participation  of  women  positively  contributes  to  project  success,  however  this  depends  on 

women’s agency and power; 

(ii) Women’s  participation  in  the  post‐project 

construction  phase  (maintenance)  has  stronger 

association with project sustainability than other forms of women’s participation; 

(iii) Practitioners  believe  that  women’s  participation  positively  contributes  to  project 

sustainability, but their opinions vary with respondents’ gender. 

The  latter  is  hypothesized  based  on  the  assumption  that  gender  of  the  survey  respondents 

influences  the  opinions  on  the  positive  or  negative  impact  of  women’s  participation  to  project 

  36

success, thus accepting an assumption that female respondents would tend to give more responses 

in favor of women’s participation than male respondents. 

4.1.2  Research Methods 

The  research  methodology  employs  qualitative  and  quantitative  methods  of:  i)  meta‐analysis  of 

available studies on sustainability of drinking water projects in developing countries, and ii) online 

surveys among practitioners on rural drinking water supply projects in a case study country (Annex A 

– Matrix of Research Methods).  

  The first part is designed to conduct a meta‐analysis of available studies conducted within 

the 2000‐2013 timeframe, on the sustainability of donor‐funded drinking water supply projects in 

developing  countries.  The  analysis  of  existing  literature  is  designed  to  bring  a  contemporary 

discussion  on  the  critical  components  constituting  sustainability  of  drinking  water  projects  in 

developing  countries.  It  is  planned  to  identify  if  any  forms  of  women’s  participation  have  been 

argued  across  different  studies  for  being  critical  to  project  success  or  sustainability.  An  overall 

picture on the existing knowledge of the research topic will specifically contribute to answering the 

research  sub‐question  (i)  ‐  What  can  be  generalized  on  the  impact  of  women’s  participation  to 

project  success?;  and  the  research  sub‐question  (ii)  ‐ 

Which  forms  and  components  of  women’s 

participation are positively (or negatively) associated with project sustainability?  

  The second part of the research methodology  is comprised of online survey among water 

sector  stakeholders  of  the  case  study  country  (Tajikistan).  This  survey  is  designed  to  provide  a 

snapshot  on  the  contemporary  opinions  of  practitioners  on  rural  drinking  water  supply  on  the 

research  question.  An  institutional  analysis  on  stakeholders  from  government,  international 

implementing agencies and donors is designed to answer sub‐question three ‐ Do practitioners on 

rural  drinking  water  supply  believe  that  women’s  participation  positively  contributes  to  project 

sustainability?  The  survey  is  also  assumed  to  partly  contribute  to  research  sub‐question  two,  in 

relation to better understand the opinions of practitioners on forms of women’s participation that 

  37

are  associated with project sustainability. The Annex B  illustrates the  links  between the research 

questions and their hypotheses, and the methods employed to answer the research questions.  

 

4.2  Meta‐analysis 

The  qualitative  and  quantitative  analysis  of  the  available  literature  includes  all  studies  on  the 

sustainability  of  drinking  water  projects  in  developing  countries,  published  in  scholarly  journals 

within  the  2000‐2013  timeframe.  This  timeframe  is  designed  for  the  purpose  of  generating 

contemporary discussion on the research topic, as well as to contribute to the forthcoming analysis 

of  MDG  water  target  achievements  in  2015.  The  focus  to  scholarly  literature  and  exclusion  of 

possible  ‘grey’  literature  studies  on  the  sustainability  of  rural  water  supply  is  rationalized  by  the 

intent to make the analysis more rigorous, thus building the findings of the analysis only based on 

the robust data from peer reviewed articles. Furthermore,  it worth mentioning that much of the 

grey literature is created by donors and implementing agencies, which in turn are considered as one 

of groups interested in avoiding the critiques on sustainable rural water supply operations funded by 

donors, while  academic community  is  believed to more unbiased.  The process of conducting the 

meta‐analysis was based on the approaches discussed  in Popay et al. (2006) and  includes various 

techniques of literature synthesis, such as conceptual mapping, groupings and clustering (see below 

Section 4.2.3).  

4.2.1 Dependent and Independent Variables 

The  primary  explanatory  variables  are  women’s  participation  (independent  variable)  and  project 

sustainability (dependent variable). Referring to the existing literature on community participation 

and water supply project sustainability,  it has been hypothesized that the dependent variable on 

project  sustainability  is  a  presumed  effect  of  the  independent  variable  of  women’s  participation 

(Figure 7). The nominal definitions of the dependent and independent variables are formulated as 

follows: (i) project sustainability as an effective and uninterrupted functionality of a project within 

  38

an  entire  designed  project  lifetime,  (ii)  women’s  participation  includes  all  forms  of  participation, 

including community mobilization for construction, education and awareness campaigns, collection 

of fees and maintenance, monitoring and data collection. These forms of women’s participation can 

be  further  grouped  into  (a)  participation  in  pre‐  and  during  project  construction,  and  (b) 

participation in post‐project operation.  

 
 

Figure 7. Theoretical model of dependent and Independent variables 

 

Projects are defined as donor‐funded and community‐managed rural drinking water supply 

systems that include (i) any type of small to medium‐scale schemes, (ii) constructed in rural area, (iii) 

with the financial (and technical support) from donor agencies, (iv) operated and maintained by the 

members of  local community, and (iv) used predominantly for drinking or as a primary source of 

drinking  water  within  the  community.  The  operationalization  of  such  small  and  medium‐scale 

projects is based on the Joint Monitoring Program (JMP) classification of  improved drinking water 

projects
10
,  which  include  (i)  piped  systems  with  treated  surface  water  (from  river,  lake,  etc.),  (ii) 

piped  systems  with  subsurface  water  (boreholes  with  electric  pumps),  (iii)  hand  pumps,  (iv) 

rainwater harvesting schemes, (v) spring catchment projects, or any combination with other possible 

variation of drinking water supply. 

4.2.2  Target Population and Units of Analysis 

The  units  of  analysis  are  individual  studies,  identified  through  the  literature  search  process  as 

meeting  the  criteria  of  (a)  research  thematic  area,  (b)  selected  timeframe,  and  (c)  geographical 

scope  (all  developing  countries).  The  population  of  interest  to  which  the  results  are  to  be 

generalized to are all developing countries.  

10
 JMP classification of drinking water projects: http://www.wssinfo.org/definitions‐methods/watsan‐categories/  

Women’s participation  Project sustainability 
+

Independent variable  Dependent variable

  39

Due  to  the  limited  research  on  the  topic,  no  sampling  methodology  was  employed  in 

selecting studies. Using multiple search methods in popular social science journal databases – JSTOR, 

SCOPUS,  as  well  as  Google  Scholar,  all  studies  that  discuss  sustainability  of  rural  drinking  water 

supply  projects  and  comprise  population  of  interest  were  included  into  the  analysis.  Different 

combinations  of  word  strings  were  applied  twice:  (i)  first,  applying  a  full  word  combination  of 

[Drinking water [And] project success [or] project sustainability [or] project effectiveness [or] project 

failure  [or]  sustainable  [And/or]  developing  country  [or]  developing  countries];  and  (ii)  second 

applying a shorter version of [Drinking [And] project success [or] sustainability [or] effectiveness [or] 

failure]. . This was done to avoid excluding any scholarly articles that might potentially comprise a 

population of interest.  

The  initial  search  of  literature  was  focused  in  the  English  language,  whoever  additional 

attempts were made to search for respective studies potentially published in the Russian language. 

The  latter  was  initiated  to  identify  any  possible  scholarly  publications  in  Russian  language, 

nevertheless,  no  studies  were  found  that  would  discuss  sustainability  of  donor‐funded  drinking 

water,  particularly  in  the  post‐soviet  union  countries.  This  is  further  discussed  in  the  limitations 

section (see Section 6.4).  

After  the  primary  screening  of  articles,  the  researcher  pre‐selected  156  scholarly  articles 

comprising  the  potential  population  of  interest.  The  key  information  from  each  article  (e.g.  title, 

authors, year, country, key findings, etc.) was tabulated into the literature review matrix (Annex C – 

Format  of  Literature  Summary  Matrix).  Pre‐selected  studies  were  carefully  examined  for  their  (i) 

relevance to the topic, and (ii) applicability to the designed timeframe and (iii) developing country 

context, with 39 different studies identified as meeting these criteria.   

 

 

40

4.2.3  Meta‐analysis procedure 

The meta‐analysis process is based on the approaches discussed in Popay et al. (2006) and includes 

various techniques of  literature  synthesis,  such  as conceptual  mapping, groupings  and clustering. 

Figure 8 illustrates a step‐by‐step process of literature synthesis process for meta‐analysis.  

 

 
 
       
                       
 
 

               
   
   
   
   
 
 
 

 
 
 
 
 
 
 
 

 
 
 
 
 
 
Figure 8. Meat‐analysis process (adapted from Popay et al, 2006) 

39 papers on sustainability of drinking water projects in 
developing countries 

Step 1. Developing a preliminary synthesis 

 Tabulation 
 Groupings and clustering 
 Thematic analysis

Step 2. Exploring relationships within and between 

studies

 Conceptual mapping 
 Visual representation of relationship 

between study characteristics and 
results  

 Qualitative case descriptions 

Step 3. Assessing the robustness of the synthesis

 Reflecting critically on the synthesis 
process 

Conclusions and recommendations

Relevant tools and techniques

Relevant tools and techniques
Relevant tools and techniques

BEGINNING  
OF META‐ANALYSIS 

END  OF  
META‐ANALYSIS 

  41

The key findings in relation to the key factors identified as critical for project sustainability in 

the selected studies, that comprise the population of interest were tabulated, grouped and clustered 

thematically. The findings identified across different studies as critical for project sustainability were 

coded and analyzed for descriptive statistics using Microsoft Excel and Statistical Package for Social 

Sciences (SPSS, version 21). The discussion of the meta‐analysis results is provided in the order of 

supporting  and  opposing  the  research  hypothesis,  when  the  relationship  between  women’s 

participation (independent variable) and project sustainability (dependent variable) were explored in 

more detail. 

4.3  Survey Administration 

4.3.1  Variables and Levels of Measurement 

The  survey  primarily  attempts  to  define  if  respondents  believe  that  participation  of  women 

positively contributes to project success. As has been hypothesized that respondents would have 

positive  opinions  on  women’s  participation,  however  their  gender  would  strongly  influence  the 

latter.  Female  respondents  are  assumed  to  have  greater  positive  perception  on  women’s 

participation as they contribute to project sustainability, than male respondents.  

To  test  the  second  part  of  the  hypothesis,  the  independent  variable  (gender)  is 

operationalized  by  a  dichotomous  level  of  measurement  –  male  and  female.  The  operational 

definition  of  the  dependent  variable  (women’s  participation)  is  measured  by  five  types  of 

participation  in: (a)  project  planning  and  design,  (b)  community  mobilization  for  construction,  (c) 

education  and  awareness  campaigns  before  and  during  construction,  (d)  collection  of  fees  from 

community  members  for  maintenance  and  repair,  (e)  organization  of  repairs  or  mobilization  of 

community  members  for  repair,  (f)  regular  monitoring  and  data  collection,  organized  into 

continuous level of measurement, based on a Likert five‐point scale. The levels of measurement for 

the analysis of survey questions are presented in the Table 3, Section 4.3.4. 

  42

4.3.2  Target Population and Units of Analysis 

The  target  population,  to  which  the  results  of  the  survey  attempt  to  generalize,  constitute  the 

sample frame. Thus, no sampling technique was employed, as the whole population of interest was 

included into the survey administration.  

The units of analysis are individuals, the practitioners on rural drinking water supply in the 

case study country (Tajikistan). These units of analysis further represent five major categories of (a) 

international donor agencies, (b)  international NGOs and  local NGOs (implementing agencies), (c) 

government agencies (policy and regulation), (d) community‐based organizations and (e) other types 

of agencies (private sector, education institution, research agency, etc.). The email list of the survey 

population was generated through the membership in the Tajikistan Water and Sanitation (TajWSS) 

network  that  represents  thirty  different  agencies  involved  in  water  projects  (Annex  D  –TajWSS 

membership  list). The TajWSS network was established  in 2009 with the support of  international 

donor agencies that presently count 52 members with experience  in rural drinking water supply, 

representing  government,  donor,  implementing  NGOs  and  the  private  sector.  It  should  be 

mentioned, that the researcher participated in the network with her  previous experience on water 

and  sanitation  in  the  country,  however  the  exposure  to  the  network  was  limited  to  several 

participations at quarterly network meetings only during 2009‐2010. Nevertheless, considering this 

fact, the researcher was not involved in the actual administration of the survey. Furthermore, the 

composition of the network has been changed significantly, due to high rotation of specialists in the 

country, within the   water and sanitation sector. The membership  list of the network  is updated 

regularly  by  the  coordinating  agencies  and  is  intended  to  include  all  specialists  and  practitioners 

involved in the implementation of drinking water supply projects in rural Tajikistan.  

The  rationale  for  the  selection  of  Tajikistan  as  a  case  study  country  is  conditioned  by  the 

following key arguments: 

(i) Tajikistan  is  a  developing country with over twenty years of  experience on  donor‐funded 

drinking water supply projects and issues of lack of sustainable projects; 

  43

(ii) The  researcher’s  past  professional  experience  provides  a  substantive  advantage  for 

administration due to established professional contacts; 

(iii)  The  results  of  this  case  study  might  be  applicable  to  the  context  of  other  Central  Asian 

countries,  as  well  as  other  post‐socialist  developing  countries  with  similar  social,  economic  and 

cultural backgrounds; 

(iv) Tajikistan is one of the least researched countries within the scholarly community and has 

very limited published information. The study of this case study country will contribute to increasing 

research knowledge for this country. 

4.3.3  Survey Design  

The survey tool and method was designed based on the techniques discussed in Dillman, Smyth, and 

Christian (2009), Floyd (2009) and Vaske (2008). Mixed‐mode survey, comprised of electronic (email) 

and paper (drop‐off) survey methods, was selected as the most appropriate, compared with 

other 

existing types of survey (mail, telephone, on‐site). The appropriateness of the selected method  is 

rationalized based on the (a) simplicity of the method, (b) availability of access to the updated email 

list, and (c) practical considerations. The mixed‐mode method with email surveys were followed by 

paper questionnaires disseminated among non‐respondents, and was designed to compensate the 

weaknesses of each method. The latter was initiated to provide the non‐respondents who simply did 

not have access to email to participate in the survey so to ensure a higher response rate.  

The  finalized  survey  questionnaire  was  comprised  of  24  fixed‐scale,  close‐ended  and  semi 

close‐ended questions. The questions were designed based on the principles of writing good survey 

questions as discussed in Vaske (2008), such as choosing simple words and phrases, avoiding bias 

from  unequal  comparisons,  using  response  categories  that  are  mutually  exclusive,  as  well  as 

ensuring sufficient white‐spacing and appropriate formatting. The seven‐page survey opened with a 

brief introductory paragraph on the research topic and key definitions used in the questionnaire.  

The finalized survey tool was disseminated among the practitioners on rural drinking water 

supply projects  in Tajikistan (Annex E – Survey Tool  in English and Russian), along with  informed 

  44

consent  forms  prepared  in  two  languages  (Annex  F  –  Informed  Consent  forms  in  English  and 

Russian). The dissemination of email survey was administered by the partnering institution Oxfam 

GB in Tajikistan (Annex G – Survey Recruitment Scripts in English and Russian), and paper survey by 

the  partnering  NGO  “Subhi  Tandurusti”.  The  latter  was  undertaken  via  participation  of  the  NGO 

representatives at a stakeholder network meeting on February 12, 2014. Responses were collected 

with the help of the partnering institutions, and coded in the Statistical Package for Social Sciences 

(SPSS, version 21). 

4.3.4 Planned Analysis 

To respond to the research sub‐question (2) on the effective components of women’s participation, 

the  responses  of  the  survey  participants  were  compared  for  means,  and  the  analyses  of  n‐way 

ANOVA and effect size (analysis of association) was undertaken to establish if the relationship exists 

between perception of respondents and demographic information. 

To  test  the  given  hypothesis  to  the  second  part  of  the  research  sub‐question  (3),  the 

hypothesis  statement  was  rephrased  in  statistical  form  of  null  and  alternative  hypothesis, 

formulated as follow: 

 

H0: The respondents do not believe that women’s participation is important for project 

sustainability and their opinions are not influenced by respondents’ gender  

H1:  The  respondents  believe  that  women’s  participation  is  important  for  project 

sustainability and their opinions vary with the respondents’ gender 

 

For the level of significance, the p‐value of <0.05, was selected as the cut‐off acceptance of 

result significance in test statistics. The results of the survey were coded in SPSS and analyzed using 

frequencies and descriptive statistics, cross‐tabulations, analysis of variance (n‐way ANOVA) and chi‐

square (Table 3).  

 

  45

Table 3. Planned statistical analysis of survey results in SPSS 

Purpose of Analysis  Survey 
questions 

Type of SPSS 
Analysis 

Dependent and Independent 
Variables 

Demographics and background 
information on survey 
participants 

1.2, 1.3, 1.4, 
1.5, 1.6, 1.7 

Frequencies 
Cross‐tabulation 

n/

a

Perception of respondents on 
years of operation for 
sustainable projects 

2.1  Frequencies
Cross‐tabulation 

n/a

Perception of respondents on 
community participation, and 
factors that affect project 
sustainability 

3.1, 3.2 Frequencies
Cross‐tabulation
Means  
n‐way ANOVA 
and effect size 

Gender, age, professional occupation, 
type of agency, years of experience 
(independent variables); and factors of 
sustainability (dependent variable) 

Perception of respondents on 
women’s participation 

3.3, 3.4, 4.3, 
5.4, 5.5 

Frequencies
Cross‐tabulation
Means 
Chi‐square 

Gender (independent variable); 
perception on women’s participation 
(dependent variable) 

Additional analysis: 
‐ attributes of men and women  
‐ agreement/ disagreement to 
country‐specific questions 

 
4.2, 4.4 
 
5.1 – 5.7 

Frequencies
Mean 

n/a
 

4.3.5  Validity and Reliability 

To  ensure  measurement  validity  and  reliability  of  the  concepts  and  indicators  presented  in  the 

survey, certain measures were undertaken in consideration of survey content and construct. For the 

construct and content validity the draft survey tool was reviewed by a mixed group of competent 

professional experts and professors, as well as pretested among a group of ESF graduate students 

with  some  skills  on  survey  questions.  The  survey  tool  was  disseminated  along  with  an  informed 

consent form (Annex H – Survey Pre‐test Recruitment Script; Annex  I – Survey Pre‐test  Informed 

Consent)  in English  language among an  interested group of students via email. Responses to the 

survey pre‐testing were collected via e‐mail personally by the investigator. Recommendations from 

nine  participants  of  survey  pre‐testing  were  directed  towards  making  the  questions  technically 

correct and for improved design (Annex J – Survey Pre‐test Results). 

Following pre‐testing, the survey tool was translated  into Russian, and was disseminated  in 

two languages (Russian and English) for the survey piloting among the selected units of analysis, the 

members of the TajWSS network (Annex K – Survey Piloting Recruitment Script; Annex L – Survey 

  46

Piloting  Informed  Consent).    The  participants  for  the  piloting  were  selected  with  the  help  of 

partnering  institutions with the criteria that the participants (i) have 10‐25 years of experience  in 

rural water supply in the country, (ii) are willing and participate in the pretest, and (iii) represent a 

group diversity in consideration of linguistic capacities (i.e. non‐English speaker vs. English‐speaker). 

Six responses (completed questionnaires), collected from the piloting stage were followed by Skype 

interviews to get detailed feedback and recommendations to improve measurement validity, ensure 

that the concepts and response tasks are understandable, language is easy and appropriate, and the 

respondents  have  similar  understanding  on  the  type  of  answers  each  survey  question  asks.  In 

addition to test for the measurement reliability or the consistency  in the pattern of respondents’ 

answers,  a  test  for  international  consistency  (Cronbach’s  alpha)  was  applied  for  multiple  item 

indicator questions (Vaske, 2008).  

4.3.6  Survey Error and Bias 

The  described  survey  procedure  and  instrument  are  designed  in  such  a  way,  as  to  avoid  all  four 

possible  types  of  survey  error:    coverage,  sampling,  non‐response  and  measurement  error.  The 

possibility of coverage and sampling errors is eliminated by the fact the whole population of interest 

had a known, non‐zero chance of being included. As no ‘sampling procedure’ was applied, no one 

from the population was excluded from participation in the survey census.  

To  minimize  the  chance  of  non‐response  error  or  non‐response  bias,  which  occur  when 

“people who do not respond are different from those who do respond in a way that is important to 

the survey” (Dillman, Smyth, & Christian, 2009:17),  it was ensured that the response rate  is high 

enough to be representative via: 

(a)  The  invitation  for  participation  was  sent  from  the  authoritative  source  (TajWSS 

Secretariat); 

(b)   Reminder messages were sent two and one weeks prior to the initial deadline from the 

authoritative source; 

(c)  The  information  sent  to  the  potential  respondents  of  the  survey  highlighted  the 

importance of the results to be used for the benefits of the respondents; 

(d)   It has been made sure that the selected survey mode was the most convenient for the 

respondents and participation was easy; 

  47

(e)  The layout of the survey was designed in such a way as to enhance visibility and minimize 

respondent burden. 

  To  minimize  the  potential  risk  of  measurement  error  or  bias,  each  respondent’s  answers 

were  checked  for  accuracy.  When  required  the  partnering  institution  (NGO  Subhi  Tandurusti) 

contacted the respondents to clarify the answers (for handwritten responses). As the measurement 

error is “often the result of poor question wording or design” (Dillman, Smyth, & Christian, 2009:18), 

it  has  been  ensured  that  all  aspects  of  questionnaire  construction  are  effective  and  clearly 

understandable for the survey respondents. 

48

CHAPTER 5: RESULTS 

5.1  Meta‐analysis 

This section provides a comprehensive overview of the literature meta‐analysis process. All studies 

that discuss factors responsible for the sustainability of community‐managed drinking water projects 

in developing countries and published within the set timeframe (2000‐2013) were included into the 

meta‐analysis of literature. In preparing the analysis, findings of all 39 identified studies were first 

tabulated within the literature review matrix (Annex M – Literature Review Findings Tabulation). The 

findings  were  grouped  and  clustered  into  the  key  typologies  of  project  sustainability  (technical, 

financial, institutional and social), and the results were mapped spatially and temporally to identify 

conceptual patterns.   Then, the results were discussed  in chronological order highlighting a wide 

spectrum  of  factors  that  have  been  argued  by  different  authors  as  critical  for  project 

success. 

Further discussion on the findings on meta‐analysis, as well critical reflections on the meta‐analysis 

process is presented in Chapter 6 – Discussion and Conclusion.  

 

5.1.1 Summarizing critical factors 

The findings of the 39 selected studies, as discussed in the previous section were summarized in the 

literature review matrix (Annex M) and further grouped  into categories. Key typologies of factors 

responsible for the sustainability of community‐managed water supply projects were identified and 

grouped into four areas of sustainability following WELL’s dimensions of sustainability, as discussed 

in Chapter 3 (WELL, 1998). Thus the findings on the project sustainability factors include (i) technical, 

(ii) financial, (iii) institutional and (iv) social aspects (Annex N – Categorization of Literature Review 

Findings).  

Mapping the factors into a typology of project sustainability shows that most of the studies 

(77%)  suggest  that  the  social  aspects  of  sustainability  are  important  for  sustainable  projects.  A 

combination of technical, financial and institutional factors has been defined across 15 studies (38%) 

  49

as critical for project success. Thus, though the literature findings confirm that sustainable project 

approaches  should  incorporate  principles  of  all  four  typologies  of  project  sustainability.  Social 

sustainability,  such  as  importance  of  community  participation  or  women’s  involvement  are  seen 

across the studies as the most prevailing pre‐requisite for project success (Figure 9). 

Figure 9. Meta‐analysis results: four typologies of project sustainability 

 
The  distribution  of  studies  into  three  equal  periods  of  the  targeted  timeframe  of  (i)  2000‐

2004, (ii) 2005‐2009 and (iii) 2010‐2013, shows that the publication of studies prevails during the 

period  of  2005‐2009.  Over  50%  of  studies  on  sustainability  of  drinking  water  projects  include 

arguments for social factors of sustainability published during that period (Table 4). The histogram 

presents the distribution of the study periods with the majority of studies falling into the period of 

(2) of 2005‐2009 and the curve demonstrating the normality (Figure 10). 

 

Table 4. Meta‐analysis results: publication of studies by years 

Year of the study 
  Frequency  Percent  Valid Percent  Cumulative 

Percent 

Valid 

2000‐2004  9 23.1 23.1 23.1

2005‐2009  20 51.3 51.3 74.4

2010‐2013  10 25.6 25.6 100.0

Total  39 100.0 100.0

38%

38%

31%

77%

1 6 11 16 21 26 31 36

Technical

Financial

Institutional

Social

number of studies

Typologies of sustainability factors

  50

 
 

    Figure 10. Meta‐analysis results: years of publication  

Meanwhile, the distribution of studies by year demonstrates that the salience of the topic peaked in 

2004 and 2006, and more significantly in years of 2009 and 2010 (Figure 11).  

  

Figure 11. Meta‐analysis results: publication of studies by years 

This can be attributed to the fact that UN has recognized the right of every human being to 

have access to sufficient water in 2010
11
, which I assume contributed to the salience of the topic. 

The preceding peaks in 2004 and 2006 of increased attention to the topic can be possibly be linked 

to the announced UN  International Decade for Action 2005‐2015 and to a series of  international 

11 Human Right to Water: https://www.un.org/en/globalissues/water/ 

0
1
2
3
4
5
6
7
8

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

n
u
m
b
e

o

st
u
d
ie
s

Distribution of studies over years

  51

conferences organized in the prior years
12
. In constructing the subsequent analysis, I discuss the key 

factors identified across different studies in the order of (i) technical, (ii) financial, (iii) institutional 

and (iv) social aspects of project sustainability. 

 

Technical factors

 

The  technical  aspects  of  project  sustainability  identified  across  selected  studies  constitute  the 

narrowest spectrum of factors, grouped only in three major categories: (i) appropriate technological 

choice, (ii) availability of technical skills, and (iii) availability of spare parts (Table 5). In total, only 15 

studies (38%) highlighted the importance of technical aspects for project success and sustainability.  

 

Table 5. Meta‐analysis results: technical factors of project sustainability 

#  Author(s)  Country Appropriate 
technological choice 
(simple and low‐
tech) 

Technical skills 
(to construct, 
repair and 
maintain 

Availability 
of spare 
parts 

1  Kleemeier, 2000  Malawi ✓ 
2  Jakariya et al., 2003  Bangladesh ✓ ✓ 
3  Musonda, 2004  Zambia ✓ 
4  Magrath, 2006  Sierra Leone ✓ ✓

 

5  Gleitsmann et al., 2007  Mali

✓  

6  deWilde et al., 2008  Mexico ✓  
7  Gine & Perez‐Foguet, 2008  Tanzania ✓  ✓
8  Esposto, 2009  Darfur

Iraq 
✓  

9  Smith, 2009  Pakistan ✓ 
10  Montgomery et al., 2009  Sub‐Saharan 

Africa 

✓ 

11  Whittington et al., 2009  Bolivia

Peru 
Ghana 

  ✓

12  Aladuwaka & Momsen, 2010  Sri Lanka ✓ 
13  Masduqi et al., 2010  Indonesia  ✓   ✓
14  Massoud et al., 2010  Lebanon ✓ 
15  Opare, 2012  Ghana ✓  

      7/15 9/15  4/15

 

12
 Water for Life: http://www.un.org/waterforlifedecade/eventsarchive_2010.shtml  

  52

Among  15  studies  discussing  technical  aspects,  the  technical  skills  of  communities  to 

construct, repair and maintain the projects of drinking water supply were denoted in 9 studies as 

critical for project success. A correct choice of technological solution, basically implying simple and 

low‐cost solutions, and availability of spare parts for community water projects were argued across 

7 and 4 studies respectively, as imperative for project effectiveness (see Figure 12).  

   

Figure 12. Meta‐analysis results: distribution of technical factors of project sustainability 

 

Financial factors

 

The  financial  aspects  of  project  sustainability  were  denoted  as  critical  in  15  studies  (similarly  to 

technical),  where  most  of  the  studies  recognized  the  importance  of  technical  aspects 

simultaneously. Identified factors were grouped into four categories of (i) post‐project support, (ii) 

adequate water pricing, (iii) ability to pay, and (iv) co‐financing of capital costs (Table 6). 

As seen from the Figure 13 adequate water tariffs that are affordable for communities but 

also  designed  in  such  a  way  as  to  ensure  full‐cost  recovery  of  the  project,  along  with  the 

community’s ability to pay for access to water have been specified across 10 studies as being of 

critical  importance  for  project  sustainability.  External  post‐project  support  and  community  co‐

financing of capital costs are argued as critical for sustainability in 8 cases only. 

0 2 4 6 8 10

Availability of spare parts

Appropriate technological choice

Technical skills to repair and maintain

Technical factors

  53

Table 6. Meta‐analysis results: financial factors of project sustainability 

#  Author(s)  Country  External post‐
project (donors 
or authorities) 

Adequate water 
tariffs 
(affordable, full 
cost‐recovery) 

Community’s 
ability to pay 

Communit
y’s co‐
financing 
of capital 
costs 

1  Kleemeier, 2000  Malawi  ✓  
2  Admassu et al., 2003  Ethiopia  ✓  
3  Musonda, 2004  Zambia  ✓ ✓ 
4  Prokopy, 2005  India    ✓
5  Haysom, 2006  Tanzania  ✓  
6  Acharya et al, 2007  Nepal  ✓  
7  Gine & Perez‐Foguet, 

2008 
Tanzania  ✓  

8  Prokopy et al., 2008  Peru  ✓  
9  Montgomery et al., 

2009 
Sub‐Saharan 
Africa 

✓  

10  Whittington et al., 2009 

Bolivia 
Peru 
Ghana 

✓  

11  Aladuwaka & Momsen, 
2010 

Sri Lanka  ✓ 

12  Armanios, 2010  Egypt  ✓  
13  Jiméneza & Pérez‐

Foguetb, 2010 
Tanzania  ✓ 

14  Masduqi et al., 2010  Indonesia   ✓  
15  Opare, 2012  Ghana  ✓  

      5/15 7/15 3/15  1/15

 
   

Figure 13. Meta‐analysis results: distribution of financial factors of project sustainability 

 
 

0 1 2 3 4 5 6 7 8

External post‐project support

Adequate water tariffs

Community’s ability to pay

Community’s co‐financing

Financial factors

  54

Institutional factors

 

The institutional factors of project sustainability in drinking water supply have found to be the least 

frequently discussed as critical. Only 12 studies (31%) have highlighted the role of institutional setup 

as important for community‐managed projects. The key typology of institutional factors includes (i) 

management  capacity,  (ii)  exit  strategy,  (iii)  government  support,  and  (iv)  partnerships  and 

coordination (Table 7). 

The management capacity of local communities to manage the project, including the presence 

of adequate and simple mechanisms for project management, after the project is constructed, has 

been  discussed  most  frequently  across  the  whole  spectrum  of  institutional  factors.  Over  58%  of 

studies  (7  studies)  that  discuss  institutional  sustainability  as  important  highlighted  the  need  for 

adequate  mechanisms  of  community  water  management,  that  implied  the  appropriate  set  up  of 

committees and the management capacities of committee members (Figure 14). 

 

Table 7. Meta‐analysis results: institutional factors of project sustainability 

#  Author(s)  Country  Management 
capacity of 
committees 

Adequate exit 
strategy/hand
over 
mechanism 

Government 
oversight and 
support  

Coordinatio
n and 
partnership  

1  Kleemeier, 2000  Malawi  ✓  
2  Bhandari et al., 2005  Nepal  ✓ ✓  ✓
3  Hoko & Hertle, 2006  Zimbabwe ✓  
4  Haysom, 2006  Tanzania  ✓  
5  Gine & Perez‐

Foguet, 2008 
Tanzania  ✓  

6  Busari, 2009 
 

Swaziland ✓

7  Aladuwaka & 
Momsen, 2010 

Sri Lanka  ✓

8  Jiméneza & Pérez‐
Foguetb, 2010 

Tanzania  ✓ ✓   

9  Masduqi et al., 2010  Indonesia  ✓  
10  Massoud et al., 2010  Lebanon  ✓    
11  Padawangi, 2010  Pakistan  ✓   
12  Holm, 2012  Malawi  ✓  

      7/12 2/12 3/12  3/12

 

In addition, close coordination of community members of the  local water committees with 

local  authorities  and  external  support  agencies  (3  studies),  strengthened  government’s  role  to 

  55

oversee  community‐managed  operation  and  provide  adequate  support  (3  studies),  as  well  as 

presence  of  adequate  exit  strategy  (2  studies)  have  been  also  argued  as  important  for  project 

success. 

It  is  worth  noting  that  most  of  the  studies  that  highlighted  the  importance  of  institutional 

factors  for  sustainability  of  community‐managed  drinking  water  projects  were  often  argued  in 

combination  with  the  earlier  discussed  technical  and  financial  components  of  sustainable  water 

projects in most of the studies.  

 

Figure 14. Meta‐analysis results: distribution of institutional factors of project sustainability 

 
 

Social factors

 

Social  sustainability  pertaining  to  all  socially  related  factors  of  community  participation  were 

discussed  in great detail within the majority of the sampled studies. A total of 30 studies or 77% 

(n=39  studies)  argued  for  a  certain  type  of  social  factor  that  was  critical  for  sustainability.  This 

includes  16  studies  (41%  of  n=39)  within  which  are  arguments  for  different  forms  of community 

participation,  without  specifying  any  particular  role  of  men  or  women  as  critical  for  the  project 

success.  Interestingly,  the  same  number  of  studies  (n  =  16  studies)  argued  for  a  critical  role  of 

women’s participation (Table 8), with two studies arguing for the importance of both.  

0 1 2 3 4 5 6 7 8

Management capacity of committees

Adequate exit strategy/handover
mechanism

Government oversight and support

Coordination and partnership

Institutional factors

  56

Table 8. Meta‐analysis results: community participation and women’s participation 

Community participation in

 study
  Frequency  Percent Valid Percent Cumulative Percent 

Valid 
no  23 59.0 59.0 59.0 
yes  16 41.0 41.0 100.0 
Total  39 100.0 100.0

Women’s participation in

 study
  Frequency  Percent Valid Percent Cumulative Percent 

Valid 
no  23 59.0 59.0 59.0 
yes  16 41.0 41.0 100.0 
Total  39 100.0 100.0
 

Identified social factors were sorted  into two major categories: (i) community participation, 

and  (ii)  women’s  participation.  Some  other  factors  –  such  as  ‘sense  of  ownership’  and  ‘group 

homogeneity’,  which  were  mentioned  across  just  a  few  studies  as  important,  but  could  not  be 

identified as pertaining exclusively to either of the two categories, and so were placed in a separate 

category of ‘other’ (Table 9). Thus, the total number of studies that argued for the importance of 

social factors of sustainability are divided almost  into equal shares for women’s participation (16 

studies)  and  community  participation  factors  (16  studies),  including  7  studies  citing  other  social 

forms of sustainability factors (Figure 15). 

 

Figure 15. Meta‐analysis results: distribution of social factors of project sustainability 

 

It  is  worth  mentioning  that  women’s  participation  has  been  recognized  across  different 

studies either in the form of presenting a case as a good example, where women’s participation was 

0 5 10 15 20

Community’s participation

Women’s participation

Other
Social factors

  57

successful,  or  an  unfortunate  example,  where  the  participation  of  women  was  critical,  but  for 

various reasons was not organized appropriately. Thus, despite the criticism of poorly implemented 

approaches of women’s  involvement into projects, the authors of those studies did not reject the 

idea  that  the  role  of  women  in  drinking  water  projects  is  important,  but  attempted  to  provide 

underlying reasons for  ineffective women’s participation strategies. The details on the criticism of 

women’s participation will be discussed in the Chapter 6.  

 
Table 9. Meta‐analysis results: social factors of project sustainability 

#  Author(s)  Country  Community 
participation 

Women’s 
participation 

Other 

1  James et al., 2002   India  ✓
2  Jakariya et al., 2003  Bangladesh ✓
3  Admassu et al., 2003  Ethiopia  ✓ ✓
4  Doe & Khan, 2004  Ghana  ✓ Sense of ownership 
5  FonJong et al., 2004  Cameroon ✓ ✓
6  Musonda, 2004  Zambia  ✓
7  O’Reilly, 2004  India  ✓
8  Prokopy, 2004  India  ✓
9  Prokopy, 2005  India  ✓
10  Bhandari et al., 2005  Nepal  ✓
11  Garande & Dagg, 2005  Chile  ✓
12  Singh, 2006  India  ✓
13  Magrath, 2006  Sierra Leone ✓
14  Cleaver & Toner, 2006  Tanzania Sense of ownership 
15  Hoko & Hertle, 2006  Zimbabwe ✓
16  Acharya et al, 2007  Nepal  ✓ Group homogeneity 
17  Gleitsmann et al., 2007  Mali  ✓
18  deWilde et al., 2008  Mexico  ✓
19  Gine & Perez‐Foguet, 2008  Tanzania ✓ ✓ Inclusion of poor 
20  Smith, 2009  Pakistan  ✓
21  Montgomery et al., 2009  Sub‐Saharan 

Africa 
Community demand for 
water 

22  Prokopy, 2009  India  ✓
23  Sultana, 2009  Bangladesh ✓ Group homogeneity 
24  Whittington et al., 2009  Bolivia 

Peru 
Ghana 

25  Aladuwaka & Momsen, 
2010 

Sri Lanka ✓

26  Barnes & Ashbolt, 2010 Philippines ✓
27  Masduqi et al., 2010  Indonesia  ✓
28  Padawangi, 2010  Pakistan  ✓
29  Madrial et al., 2011  Costa Rica ✓ Sense of ownership 
30  Holm, 2012  Malawi  ✓
31  Opare, 2012  Ghana  ✓

      16/31 16/31 7/31 

 

  58

Further analysis focused on different forms of (i) community participation and (ii) women’s 

participation that have been discussed across 30 studies as critical for project success.   Thus, the 

forms  of  community  or  women’s  participation  were  categorized  into  six  main  categories,  as 

identified  across  the  studies,  which  included  participation  in  (i)  decision‐making  for  planning  and 

project  design,  (ii)  construction,  (iii)  community  education  and  awareness  campaigns,  (iv)  system 

management and collection of fees for repair, (v) organization and performance of repairs, and (vi) 

monitoring  and  data  collection  (Table  10).  Unspecified  or  ambiguous  types  of  participation  have 

been placed into a separate ‘unspecified/general’ category.  

Two  forms  of  community  participation  (a)  participation  in  decision‐making  for  project 

planning and design, and (b) participation in collection of fees for system repair 

and maintenance 

prevail (46%) among other forms of participation as the most critical for project sustainability (Figure 

16). Community participation  in the construction and repair of systems, as well as data collection 

and  monitoring  have  been  mentioned  in  just  a  few  studies  as  important  (2  studies  or  12%). 

Meanwhile, community participation  in general, denoting any form of community participation  in 

project planning, implementation and management have been argued as important across 9 studies 

or 56% of the studies with social factors of sustainability as a highly positive impact.  

 

59

Table 10. Meta‐analysis results: social factors ‐ community participation

#  Author(s)  Country  Planning & 
Design / 
Decision‐
making 

Construction Education 
and 
awareness 

Collection of 
fees for repair / 
Management & 
decision‐making 

Organization 
of repairs (inc. 
performing 
repairs) 

Monitoring 

and data 
collection 

Unspecified 
/ general 

1  Admassu et al., 2003  Ethiopia  ✓ ✓ ✓  ✓ ✓ ✓
2  Doe & Khan , 2004  Ghana  ✓ ✓
3  FonJong et al., 2004  Cameroon  ✓ ✓
4  Musonda, 2004  Zambia  ✓
5  Prokopy, 2005  India  ✓ ✓
6  Garande & Dagg, 2005  Chile  ✓ ✓
7  Magrath, 2006  Sierra Leone ✓
8  Hoko & Hertle, 2006  Zimbabwe  ✓  ✓
9  Gine & Perez‐Foguet, 2008  Tanzania  ✓
10  Smith, 2009  Pakistan  ✓
11  Prokopy, 2009  India  ✓
12  Whittington et al., 2009  Bolivia, Peru, Ghana ✓
13  Barnes & Ashbolt, 2010  Philippines ✓
14  Masduqi et al., 2010  Indonesia   ✓
15  Holm, 2012  Malawi  ✓
16  Opare, 2012  Ghana  ✓

      6/16 1/16 2/16  6/16 1/16 1/16 9/16 

60

  Figure 16. Meta‐analysis results: social factors: typology of community participation 

It  is  worth  noting  that  several  studies  have  argued  that  community  cohesion  and  project 

initiatives arising from within the communities are important for project success (Barnes & Ashbolt, 

2010; Doe & Khan, 2004). While the latter refers to a community’s effort to initiate a project with or 

without  external  support,  the  former  implies  strong  and  positive  relationships  among  the 

community members and a sense of common vision and belonging for all communities. 

Women’s  participation  has  been  argued  to  be  critical  across  16  studies  that  discuss  social 

factors of sustainability as critical for project success. The key typologies of women’s participation 

have been disaggregated  into six forms, similarly for community participation (Table 11).   Certain 

forms of women’s participation have been argued as more important for project sustainability than 

the other forms. For example, women’s participation in the decision‐making for project planning and 

design  (x=̅.26),  and  participation  in  collection  of  fees  for  repair  (x ̅=.15)  were  found  more  critical 

across  studies, than the other forms of women’s participation  (Table  12). Participation of female 

community members during project construction, community education and awareness campaigns, 

actual organization of repairs for system maintenance, as well as participation in data collection for 

monitoring,  have  found  less  evidence  of  support  across  identified  studies.  Figure  17  illustrates 

graphic  distribution  of  forms  of  women’s  participation  indicating  superior  importance  of  the 

mentioned two forms. 

0 2 4 6 8 10

Planning & Design / Decision‐making

Construction

Education and awareness

Collection of fees for repair /…

Organization of repairs (inc.…

Monitoring and data collection

Unspecified / general

number of studies
Community participation in

61

Table 11. Meta‐analysis results: social factors – women’s participation 

#  Author(s)  Country  Planning & 
Design / 
Decision‐making 

Construction Education and 
awareness 

Collection of 
fees for repair / 
Management & 
decision‐making 

Organization of 
repairs (inc. 
performing 
repairs) 

Monitoring 
and data 
collection 
Unspecified 
/ general 

1  James et al., 2002   India  ✓ ✓ 
2  Jakariya et al., 2003  Bangladesh  ✓  
3  Admassu et al., 2003  Ethiopia  ✓ ✓ ✓ ✓  ✓ ✓
4  FonJong et al., 2004  Cameroon  ✓  
5  O’Reilly, 2004  India  ✓ ✓ 
6  Prokopy, 2004  India  ✓ ✓ 
7  Bhandari et al., 2005  Nepal  ✓  
8  Singh, 2006  India  ✓  
9  Acharya et al.,  (2007)  Nepal    ✓
10  Gleitsmann et al., 2007  Mali  ✓ 
11  Gine & Perez‐Foguet, 2008  Tanzania    ✓
12  Sultana, 2009  Bangladesh  ✓   ✓
13  Aladuwaka & Momsen, 2010  Sri Lanka  ✓ ✓ 
14  Padawangi, 2010  Pakistan    ✓
15  Madrial et al., 2011  Costa Rica    ✓

      10/15 1/15 1/15 6/15 1/15 1/15 5/15

62

 

  Figure 17. Meta‐analysis results: distribution by typology of women’s participation 

Interestingly,  the  discussion  on  the  importance  of  women’s  involvement  in  the  selected 

studies  goes  even  beyond  just  simply  identifying  which  forms  of  participation  matter  for  project 

success.  For  example,  women’s  agency  and  control  over  water  access,  as  well  as  recognition  of 

women as key players in water management and support from male community members toward 

women’s  leadership  have  been  argued,  across  several  studies,  as  key  for  sustainable  projects 

(Aladuwaka  &  Momsen,  2010;  Gine  &  Perez‐Foguet,  2008;  O’Reilly,  2004;  Prokopy,  2004). 

Furthermore,  several  authors  have  argued  that  the  composition  of  women’s  water  committee 

groups also matters: while greater heterogeneity in women’s group for social, economic and even 

Table 12.  Meta‐analysis results: descriptive statistics on typology of women’s participation

  Planning and 
design 

Construction Education and 
awareness 

Collection of 
fees  

Organization 
of repairs  

Monitoring 


Valid  39  39 39 39 39  39

Missing  0  0 0 0 0  0

Mean  .26  .03 .03 .15 .03  .03

Std. Deviation  .442  .160 .160 .366 .160  .160

Variance  .196  .026 .026 .134 .026  .026

Range  1  1 1 1 1  1

0 1 2 3 4 5 6 7 8 9 10 11

Planning & Design / Decision‐making
Construction
Education and awareness
Collection of fees for repair /…
Organization of repairs (inc.…
Monitoring and data collection
Unspecified / general
number of studies
Women’s participation in

  63

biological characteristics of its members does not necessarily produce positive impact for projects, 

whereas the homogeneity in women’s groups have found to be positively correlated with successful 

project development (Singh, 2006; Acharya et al., 2007; Sultana, 2009). Furthermore, some other 

aspects of women’s participation, such as when participation of women is against social norms and 

local community customs (O’Reilly, 2004; Prokopy, 2004). When the willingness to participate comes 

from  women  and  whereas  women  have  sufficient  training  and  commitment  to  manage  projects 

(Aladuwaka  &  Momsen,  2010;  Madrial,  Alpizar,  &  Schlute,  2011;  Prokopy,  2004;  Singh,  2006; 

Sultana, 2009), as well as no geographical restrictions for women to practice participation (Sultana, 

2009), all have been outlined across several studies as critical for women’s active  involvement  in 

drinking water supply projects. 

 

5.1.3 Geographical and contextual disparities 

Studies on the sustainability of community‐managed drinking water supply projects are seen as the 

most salient in the regions of Asia and Africa with 29 studies (86%) identified in 21 countries, and a 

few more studies (9%) have been identified in North America and South America regions (Table 13).  

 

Table 13. Meta‐analysis results: descriptive statistics on geographical regions 

Geographical region 
  Frequency  Percent  Valid Percent  Cumulative Percent

 

Africa  17 43.6 43.6  43.6
Asia  17 43.6 43.6  87.2
South America  3 7.7 7.7  94.9
North America  2 5.1 5.1  100.0
Total  39 100.0 100.0  

 
 
 
 
 


Valid  39
Missing  0

Mean  1.74
Median  2.00
Mode  1

a

Std. Deviation  .818
Variance  .669
Range  3

  64

Representing 26 countries overall, the issues of project sustainability in drinking water supply 

can be argued as more frequently occurring  in the countries of Africa (12 countries) and Asia (9), 

than in North (2) and South America (3) (Figure 18). 

Figure 18. Meta‐analysis results: distribution of studies by geographical regions 
 

Table  14  lists  all  countries  discussed  in  the  sampled  studies.  Several  countries  stand  out 

among other countries, where the research topic has been studied more frequently, such as in India 

(6 studies), Tanzania (4 studies) and Ghana (3 studies). For the rest of the countries, the topic on the 

sustainability of rural water supply has only been studied once or twice. This  latter point can be 

explained by the earlier assumption that the whole thematic area on sustainability of donor‐funded 

projects is a sensitive area, as well as the novel, and not researched in great detail. 

Table 14. Meta‐analysis results: list of researched countries across studies 

Africa  Asia  South America  North America 

Cameroon (1)   Bangladesh (2)  Bolivia (1)  Costa Rica (1) 

Egypt (1)  India (6)  Chile (1)  Mexico (1) 

Ethiopia (1)   Indonesia (1)  Peru (2) 

Ghana (3)  Iraq (1) 

Malawi (2)  Lebanon (1) 

Mali (1)  Nepal (2) 

Sierra Leone (1)   Pakistan (2) 

Sudan (1)  Philippines (1) 

Swaziland (1)  Sri Lanka (1) 

Tanzania (4)  

Zambia (1) 

Zimbabwe (1) 1 

Sub‐Saharan Africa region (1) 

12
9
3
2

43%

43%
7%
2%

Africa

Asia

South America

North America

Distribution of studies by regions

percent of studies number of countries

  65

 

The  geographical  mapping  on  the  discussion  of  women’s  participation  for  sustainability  of 

drinking water projects further narrows down the  list of countries. Thus, countries that recognize 

the special role of women  in water projects (either by presenting successful or unsuccessful case 

examples) include the countries of India (4), Bangladesh (2), Nepal (2), Sri Lanka (1) and Pakistan (1), 

as well as Ethiopia (1), Cameroon (1), Mali (1), Tanzania, and Costa Rica (1). Countries of South Asia 

are  the  most  researched  regarding  effectiveness  of  women’s  participation,  and  so  advise  that 

women’s participation is widely used as a project strategy in those countries (Figure 19).  

Figure  19.  Meta‐analysis  results:  distribution  of  studies  on  women’s  participation 
across geographical regions  

     

5.1.2 Narrative on meta‐analysis 

In one of the early  studies  in the 2000s, the evaluation of  17 drinking water projects  in  Malawi, 

Kleemeier found that half of the assessed schemes performed poorly at the time of monitoring. She 

found  that  a  community’s  capacity  to  manage  the  project  and  external  agency  support  to  the 

management committees was crucial for the sustainability of constructed systems. She concluded 

that “community groups turn out to be good at making the small repairs necessary to keep water 

flowing, but poor at preventative maintenance and repairs”, thus  if “external agency  is weak, the 

schemes will eventually perform poorly” (Kleemeier, 2000:941‐42). 

Asia
67%

Africa
27%

North 
America

6%

  66

A  similar  study  conducted  two  years  later  in  two  villages  of  India  supported  Kleemeier’s 

conclusion on the importance of community‐management, but also highlighted the role of women in 

the  installation  of  drinking  water  supply  projects  (James  et  al.,  2002).  They  argued  that  projects 

combined  with  the  provision  of  earning  opportunities  for  women  enhance  their  potential  for 

decision‐making and thus contribute to the effectiveness of water projects: 

Investment in rural water supply will then provide dual benefits: the social benefits of 
an improved water supply and the economic benefits from the time saved. Further, 
involving  empowered  and  earning  women  in  decision‐making  of  decentralized 
community  infrastructure  projects  can  improve  the  effectiveness  of  community 
infrastructure  projects  involving  water  distribution  and  management  (James  et  al., 
2002: 216.) 

 
Furthermore,  an  evaluation  of  51,685  tubewells  in  Bangladesh  supported  the  previous 

findings by concluding that the key to project success was “a combination of close integration with 

the community at all stages and appropriate technical solutions”, whereas the critical point is the 

provision  of  training  opportunities  for  female  volunteers  (Jakariya,  et  al.,  2003:141‐45).  Another 

study  of  2003  by  Admassu,  Kumie,  &  Fantahun  on  the  evaluation  of  114  water  projects  in  rural 

Ethiopia  found  that  the  assessed  projects  lacked  sustainability  due  to  (i)  insufficient  community 

partnerships,  (ii)  lack  of  skills  for  financial  management,  and  (iii)  absence  of  gender  sensitivity. 

Though, in this study, gender sensitivity has been found to be critical for project success, the authors 

do not assess this factor  in detail. Although they mention that better coordination at all  levels of 

management and community participation  is crucial for project sustainability, they point out that 

community participation in water projects is not work for females. 

Studies  in  2004  further  contributed  to  the  discourse  on  the  effectiveness  of  community‐

management model and women’s participation. Thus, Doe and Khan (2004) argued that community 

participation  in  decision‐making,  planning  and  service  provision,  as  well  as  sense  of  ownership 

among  community  members  positively  affect  sustainability  of  constructed  rural  drinking  water 

projects, by pointing out that “community management is useful for community development but 

one size does not fit all” (Doe & Khan, 2004:369). They found that the size of the communities where 

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projects  are  introduced  matters  and  larger  communities  have  less  potential  for  project  success. 

Meanwhile, FonJong, Nebasina and Fonchingong in their case study of Cameroon rural water project 

argued that “because women are faced more directly than men with the problem of water supply 

and sanitation, they can be a substantial driving force behind the installation and maintenance of 

facilities” (FonJong, Nebasina , & Fonchingong, 2004:438). They pointed put that while community 

participation  is  a  prerequisite  of  project  success,  involvement  of  women  in  project  planning  and 

especially management is imperative for sustainability of the projects. Musonda (2004) in a study of 

Zambia  on  the  contrary  did  not  find  women’s  participation  as  imperative  for  successful  project 

development  and  suggested  that  four  factors  were  crucial  for  project  sustainability:  (a)  effective 

community organization, (b) communities have the ability to operate and maintain, (c) communities 

are able to raise adequate user fees for purchasing spare parts, and (d) there  is a strong backup 

support at the district level to carry out major repairs. 

The  last two studies of 2004, both case studies of India, brought  lots of controversy to the 

topic  of  women’s  participation  and  project  effectiveness.  O’Reilly  (2004)  argues  that  gendered 

dynamics are complex and women’s lack of agency and power in certain spheres, such as inability to 

contribute  to  implementation  of  program  strategies  does  not  make  women’s  participation 

important  for  the  long‐term  sustainability  of  the  project.  She  says  that  women’s  participation  is 

“nothing  but  a  great  joke  and  it  is  a  decorative  item”  and  the  project’s  goal  of  “women’s 

participation is nothing but to manage the financial aid from [the German bank] and a little bit of 

show  off”  (O’Reilly,  2004:180).  O’Reilly  remarks  that  “women’s  incorporation  into  development 

projects, instead of being a straightforward process, has generated conflicts and paradoxes”, when 

the underlying reason for that is that the strategy of women’s participation  is not taken seriously 

(O’Reilly,  2004:175).  In  the  second  study  in  India,  Prokopy  (2004:114)  concludes  that  “women’s 

participation does not lead to project improvements”. Prokopy argues that while overall community‐

participation has a positive effect to project sustainability, women’s participation has no relationship 

with project success or sustainability. She further explains that the participation of women in water 

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committees is nominal or token, as “their seat is merely a reservation seat and they know nothing 

about water project” and in most cases women’s husbands and sons attend the committee meetings 

(Prokopy, 2004:109). As the underlying reasons of this ‘token participation’ of women Prokopy finds 

the following: 

 Issues pertaining village government are traditionally the responsibility of men. 
Participation of women is against general custom; 

 Men object to women’s involvement; 
 Women’s hesitation and fear; 
 Women are not interested; 
 Women  are  not  allowed  to  speak  in  front  of  elderly  and  women  were  not 

consulted during planning and implementation stage (Prokopy, 2004:112). 

Clearly,  Prokopy’s  comprehensive  analysis  on  women’s  role  in  water  projects  brings  to  the 

discussion many flaws that exist in the process of women’s involvement. Lastly, the author adds that 

though this analysis has treated women as a homogeneous group, and suggests that women should 

be  studied  as  heterogeneous  societal  groups  via  “the  nexus  between  gender,  class  and  caste” 

(Prokopy, 2004:115). 

In  another  study  on  India’s  water  projects,  Prokopy  found  that  community  contribution  to 

capital  costs  and  household  involvement  in  decision‐making  are  significant  contributors  to  the 

project success by arguing that “the higher the percentage of households in a village contributing to 

capital  costs, the  better  for  the  project”  (Prokopy, 2005:1817).  In  a  case study  of  drinking  water 

project in Chile, Garande and Dagg (2005) found that failure to fully integrate community into the 

processes of project planning and management was the key reason for project unsustainability. They 

argued “if people actively participate in the project planning and implementation stages, then they 

are more committed to the project’s success” and highlighted (i) comprehensive consultation with 

community and transparency, (ii) high levels of community participation, (iii) ‘participation should be 

inclusive  and  communicative’  among  the  critical  factors  of  project  success  (Garande  &  Dagg, 

2005:417‐420). Meanwhile, Bhandari, Grant, and Pokharel (2005) in a case study in Nepal found that 

lack of involvement of women during the planning stages is one of the key reasons for unsuccessful 

projects  and  argued  that  government  supervision,  adequate  mechanisms  for  the  handover  of 

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constructed schemes, and coordination among local water committees and local government are all 

essential for sustainable projects. 

Another study from  India criticized the  ineffectiveness of women’s participation  in drinking 

water  projects  (Singh,  2006).  Similarly  to  Prokopy’s  arguments,  Singh  criticized  that  women’s 

participation as being largely token and says: 

the  involvement  of  women  by  itself  does  not  guarantee  communities  equitable 
benefits  from  water‐related  infrastructure  and  new  distribution  schemes.  Social 
differences  among  women  along  the  lines  of  age,  caste  and  religion  may  in  fact 
reinforce  social  and  economic  imbalances  rather  than  transform  them  (Singh, 
2006:74). 

Singh suggests that “women’s leadership did not make any real difference with regard to the rate of 

collection of use fees from water users” and “women’s membership is actually considered a proxy as 

in reality their husbands or sons attended the meetings and made decisions” (Singh, 2006:70). Thus 

he argued that women’s representation  in decision‐making positions does not necessarily ensure 

that  all  women’s  interests  will  be  safeguarded  (Singh,  2006:70‐71).  Singh  suggests  that  when 

applying project approaches of women’s participation, the considerations of heterogeneity among 

women or admitting the existence of social and economical differences in women’s groups, arguably 

will  give  a  better  understanding  of  “the  factors  that  thwart  women’s  participation  from  being 

meaningful and less token” (Singh, 2006:74). 

Furthermore, the 2006 studies did not add much to the discourse of women’s participation, 

but produced more or less similar conclusions. Cleaver and Toner, on community water governance, 

in  Tanzania  found  that  “community  management  element  of  the  project  is  perhaps  the  least 

successful aspect” due to the lack of community ownership (Cleaver & Toner, 2006:213). Hoko and 

Hertle  in a case study of rural Zimbabwe concluded that for a project to be sustainable  it should 

incorporate ‘active community involvement’, ‘strengthened capacity of water committees’, ‘easiness 

of operation of facility’, as well as  ‘improved awareness of local communities on the project’ (Hoko 

& Hertle, 2006:699). Meanwhile, Magrath (2006) in a Sierra Leone study argued that the capacity of 

communities  to  maintain,  poverty  and  lack  of  community  cohesion,  women’s  workload  and  the 

  70

position in society, lack of tools and spare parts all are the key impediments to the successfulness of 

the  projects.  Furthermore,  Haysom  in  a  study  on  rural  Tanzania  concluded  that  the  “financial 

management was the primary correlation of non‐functionality” (Haysom, 2006:1). She found that 

only  45%  of  assessed  water  points  were  functioning,  thus  attributing  this  to  ‘pricing  based  on 

achieving  full  cost‐recovery’  and  ‘simplicity  in  management  structures’  are  all  crucial  for  project 

sustainability, whereas she argued that the ongoing use of alternative sources can undermine cost 

recovery  (Haysom, 2006:1). Haysom challenged the orthodoxy surrounding concepts of community 

ownership and participation by concluding that “there  is a danger that participation  in  its current 

orthodoxy  is  an  inferior  substitute  for  sound  local  government  or  ongoing  support  from  the 

implementing agency”, and invited re‐examination of the responsibilities of implementing agencies 

and donors (Haysom, 2006:21). 

The  subsequent  studies  added  to  the  discussion  presented  earlier  by  Singh  (2006)  on  the 

negative impact of heterogeneity of community management groups. Acharya, Yoshino, Jimba, and 

Wakai in investigating how community development programs can empower rural women in rural 

Nepal, found that “homogeneity in group formation could be a crucial factor in the success of many 

community‐based  organizations,  whereas  heterogeneity  could  jeopardize  the  success  of  the 

program”  (Acharya,  Yoshino,  Jimba,  &  Wakai,  2007:44).  The  authors  claim  that  this  argument 

expands to all community‐based projects, not only for drinking water supply. According to them, any 

kind of heterogeneity in the management of community‐based organizations can pose risk to project 

sustainability and exemplify this by a  bitter experience of  mixing married  women  and  unmarried 

women in projects. They also suggest that “if community development programs lack dynamism, but 

merely provide financial support, program efforts may weaken disadvantaged people by increasing 

their  dependencies  on  programs  rather  [than]  empowering  them”  (Acharya,  Yoshino,  Jimba,  & 

Wakai,  2007:45).  Another  study  in  2007  which  assesses  the  drinking  water  projects  in  rural  Mali 

suggests that “the projects have for the most part neglected the concept of social learning and the 

perspectives and knowledge of  local stakeholders” (Gleitsmann, Kroma & Tammo, 2007:149) and 

  71

concludes that three factors played a critical role in project unsustainability: (a) lack of commitment 

to maintain, (b) use of inappropriate technology and (c) a failure of involving the main providers of 

water (women and herders) in project management. On the latter they state: “women and herders, 

the main providers of household water and water for livestock respectively, were not found to be 

involved  in  the  official  management  of  pumps”,  which  consequently  led  to  project  failure 

(Gleitsmann, Kroma & Tammo, 2007:149). 

The  2008  studies  mostly  highlight  the  importance  of  institutional  and  technical  factors  for 

project sustainability. Thus, a study in rural Mexico found that technical functionality is consistently 

difficult to sustain, and careful consideration of  user convenience (especially among women) during 

the planning stage significantly affects project success (deWilde, Milman, Flores, Salmeron, & Ray, 

2008).  A  study  from  Tanzania  determined  seven  key  factors  were  responsible  for  the  long‐term 

functionality  of  water  supply  systems:  (i)  management  at  the  lowest  appropriate  level,  (ii) 

communities owning and managing their water schemes, (iii) availability of spare parts and know‐

how, (iv) full cost recovery for operation and maintenance of the scheme, (v) the protection of water 

sources, (vi) balancing between technology, service level and the capacity of the beneficiaries, and 

(vii) the recognition of women as key players and the inclusion of the poor (Gine & Perez‐Foguet, 

2008:335‐39). Though the authors recognize that gender and participation of women is important 

for project sustainability, they limit their analysis to the assertion that the “consideration of gender 

and  poverty  should  be  a  prerequisite  linked  to  project  sustainability”  (Gine  &  Perez‐Foguet, 

2008:340)  and  do  not  provide  any  further  details  on  the  latter.  Meanwhile,  Prokopy,  Thorsten, 

Bakalian, and Wakeman (2008) in evaluating drinking water projects in 99 villages in Peru found that 

post‐construction support is very critical for project sustainability and suggested that “projects can 

be made more efficient by building post‐construction support  into system design, as systems will 

operate  more  continuously,  break  downs  for  shorter  time,  and  can  be  fixed  without  bringing  in 

outsiders” (Prokopy, Thorsten, Bakalian, & Wakeman, 2008:295). A study from Pakistan criticized the 

community‐participation  approach  as  often  passive  and  tokenistic  and  found  that  “local  level 

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capacity  constrains  and  critical  lack  of  facilitator  knowledge”  (Smith,  2008:364)  within  the 

community do not make the participatory approach meaningful. 

A study from Darfur  in  Iraq supported the primacy of technical sustainability by suggesting 

that the choice of technology should not be on “the most economical and/or efficient solution, but 

to  the  one  that  emerges  as  having  the  best  relationship  with  the  local,  social  and  cultural 

framework” (Esposto, 2009:262). Meanwhile, a case study from Sub‐Saharan Africa in an attempt to 

identify key universal sustainability factors affecting functionality of rural water supply, suggests that 

(i) effective community demand, (ii)  local financing and cost recovery, and (iii) dynamic operation 

and maintenance are equally crucial for project sustainability (Montgomery, Bartram, & Elimelech, 

2009:1017). Meanwhile, Whittington et al. (2009) in a study of projects in Bolivia, Peru and Ghana 

argue that project success depends on two most critical factors: (i) access to spare parts, and (ii) 

community  participation,  and  suggest  that  the  post‐construction  support  has  some  positive 

associations with project sustainability too. Furthermore, Prokopy (2009) concludes that community 

participation in India leads to sustainable projects by arguing that “the benefits of participation were 

highest in the regions where more people participated” (Prokopy, 2009:492). Prokopy also argues 

that  wealth  (higher  asset  levels),  higher  literacy  rate,  smaller  household  and  village  size  (as  a 

measure of social cohesion) are the determinants for community participation in rural India. The last 

two 2009 studies further contribute to the controversy of community‐management and women’s 

participation.  A  case  from  rural  Swaziland  argues  that  while  close  coordination  with  community 

members  is  a  decisive  factor  for  project  success  and  neither  community  contribution  and 

participation, nor women’s presence in the local water committee did not save the assessed projects 

from  failure  (Busari,  2009).  Meanwhile,  a  study  from  rural  Bangladesh  reveals  that  women’s 

participation  “does  not  necessarily  address  power  issues  between  men  and  women,  and  among 

different  women”  (Sultana,  2009:349).  Sultana  points  out  that  community  participation  and 

particularly women’s participation strategy is problematic due to gendered exclusions that pertain in 

many  communities:  while  women’s  participation  may  be  formalized  in  a  project,  women  can  be 

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socially excluded from participation, for example because of discouragement of speaking in public, 

or  a  specific  place.  Thus,  Sultana  suggests  considering  ‘agency  of  heterogeneous  nature’  and 

‘importance  of  geographical  locations’  in  implementing  the  participatory  approach  (Sultana 

2009:346),  and  concludes  that  “public  space  and  decision‐making  in  participatory  development 

projects  in  many  places  also  exclude  women  largely  due  to  notions  of  appropriate  feminine 

behaviour” (Sultana 2009:350). 

Conversely  to  Sultana’s  findings,  Aladuwaka  and  Momsen  (2010)  found  for  projects  in  Sri 

Lanka, that were initiated and managed by local women were very successful. They point out that it 

is  due  to  effective  women’s  leadership,  that  women’s  empowerment  contributed  to  “getting 

increased respect from men in the community” (Aladuwaka & Momsen, 2010:45) and strengthened 

women’s agency to make the decisions on behalf of the community. Thus, they conclude among the 

key factors that contributed to the sustainability of the project, the (i) women’s participation and 

leadership,  (ii)  women’s  agency,  power  and  skills,  (iii)  women’s  solidarity  and  employment 

opportunities. They also suggest that sense of ownership, knowledge of the technology, as well as 

support of male population to women’s leadership also contributed to the project success. Similarly, 

Padawangi  in  a  case  study  of  Pakistan  concludes  that  along  with  ‘community  participation’  and 

‘women’s active  involvement’, factors such as  ‘support of community‐management model by the 

government’,  ‘community  ownership  and  appreciation  of  the  project’,  ‘public  sector  provides 

continuous monitoring and guidance’ equally contributed to project sustainability (Padawangi, 2010: 

117‐18).  He  says  that  “the  project  was  effective  in  promoting  local  participation  and  ownership, 

particularly  by  women’s  groups,  and  is  therefore  likely  to  have  sustainable  operation  and 

maintenance” (Padawangi, 2010:104). 

The  remaining  2010  studies  discuss  a  mix  of  technical,  institutional  and  social  factors 

responsible  for  project  success,  however  none  of  them  argues  for  the  special  role  of  women  in 

project  sustainability.  Armanios  (2010),  on  projects  in  rural  Egypt,  approached  the  question  of 

project sustainability through a holistic view and proposed that a new dimension of sustainability be 

  74

‘engineering sustainability’. He argues that a combination of factors that previously connected the 

ideas  of  economic  and  environmental  sustainability  should  comprise  engineering  sustainability, 

implying to sustain “the skills and  learning processes for the user community to self‐maintain the 

water  supply  system  once  the  system  is  constructed”  (Armanios,  2010:46).  Barnes  and  Ashbolt 

(2010) in exploring the link between planning and implementation of water projects in Phillipines, 

argued that to reduce early project failure, that project planning processes should be improved. In 

an attempt to identify preconditions to project sustainability, they suggest that the consideration of 

the  following  five  pre‐conditions  are  important  in  the  Filipino  context:  (i)  strong  community 

involvement, (ii) project initiation by users, (iii) commitment by beneficiaries, (iv) genuine need for 

water,  (v)  trust  and  transparency  between  community  members  and  development  workers. 

Jiméneza and Pérez‐Foguetb (2010) in evaluating water governance in rural Tanzania, challenged the 

community‐management model and suggested that the responsibility for management should be 

redefined by strengthening the role of local government. They concluded:  

… sustainability is threatened by the limitations of community management funds, the difficult 
relationship  between  water  user  entities  and  elected  village  representatives,  the  low 
professionalism in the management of services, and the very limited role that decentralized 
government plays with regard to monitoring, regulation, and technical support (Jiméneza and 
Pérez‐Foguetb (2010:243) 

Furthermore,  a  study  from  Indonesia  produced  nine  variables  as  significant  to  project 

sustainability when (i) selection of technology, (ii) water sources, (iii) investment cost, (iv) capability 

of  operator,  (v)  availability  of  spare  parts,  (vi)  operation  cost,  (vii)  technical  operation,  (viii) 

community  participation,  and  (ix)  institutional  management  are  appropriately  designed  and 

implemented (Masduqi, Endah, Soedjono, & Hadi, 2010). Massoud, Al‐Abady, Jurdi, and Nuwayhid 

(2010)  in  assessing  the  challenges  of  sustainable  drinking  water  supply  in  Lebanon  argued  that 

contamination  of  the  source,  poor  maintenance  operations,  and  aging  of  the  networks  are 

significant  factors  responsible  for  project  failures.  They  suggest  that  the  integration  of  quality  of 

water  supply  management  and  educational  programs  ensures  safety  and  sustainability  of  water 

supplies. 

  75

The most recent studies did not produce any new arguments with regard to women’s roles. 

Thus, Madrial, Alpizar, and Schlute in a case study of Costa Rica found that ‘high sense of ownership’ 

and  ‘desire to assume the costs necessary to run the system properly’ are  linked to high project 

performance  (Madrial,  Alpizar,  &  Schlute,  2011:1672).  They  highlight  that  women’s  position  in  a 

society  is  important  and  suggest  that  “permanent  and  accessible  training  programs  that  include 

young people and women are [also] key elements” (Madrial, Alpizar, & Schlute, 2011:1673). They 

say: 

 the human capital (expertise, education, leadership, participation by women) of the members 
of the water committees plays a key role because they are directly responsible for devising 
and enforcing the different rules that affect performance of the organization (Madrial, Alpizar, 
& Schlute, 2011:1670) 

A study on Malawi revealed three factors critical for project success: (i) local identification of needs, 

(ii) partnerships, and (iii) an exit strategy (Holm, 2012). Holm elaborates as the mentioned is critical: 

[First,]  identification  of  the  need  by  the  indigenous  community  providers  ownership  in  the 
project. [Second,] a partnership between key  individuals  in the  indigenous community with 
the donor provides for ambassadors on both sides of the project. [Finally,] an exit strategy by 
the donors for the indigenous communities ensures local sustainability for the future (Holm, 
2012:808) 

Finally, the latest study on sustainability of community‐managed water projects, in a case study in 

Ghana  suggests  that  the  choice  of  a  certain  technology  for  drinking  water  supply  is  critical  as  a 

sustainability strategy (Opare, 2012). He suggests rainwater harvesting technology is an example of 

sustainable  water  supply  solutions  for  its  (i)  ‘affordability’,  (ii)  ‘ease  of  operations’,  (iii)  ‘user 

ownership’ and (iv) ‘user management’, and asserts that the incorporation of these four variables 

into  any  type  community‐managed  water  supply  projects  would  ensure  project  success  (Opare, 

2012:702). 

 

  76

5.2  Survey Results 

This section discusses the results of the online survey, administered in February 2014 among 52 the 

members of the TajWSS network in Tajikistan. In presenting the results, I first provide an overview 

on the demographic/background information on the participants (gender, age, years of experience, 

etc.) by analyzing descriptive statistics. Then, I discuss the opinions of the survey participants on the 

role  of  community  participation  and  women’s  participation  in  the  projects  in  relation  to  project 

sustainability. By doing so,  I analyze descriptive statistics attempting to answer the research sub‐

question (2) ‐ Which forms and components of women’s participation are positively (or negatively) 

associated  with  project  sustainability?;  and  sub‐question  (3)  –  Do  practitioners  on  rural  drinking 

water supply believe that women’s participation positively contributes to project sustainability? For 

the  second  part  of  the  latter,  I  perform  hypothesis  testing  (chi‐square)  to  test  if  gender  of 

respondents  influenced  their  opinions.  Finally,  additional  information  from  the  survey  analysis  is 

presented, that will prove useful for the synthesis of results in the discussion section (Chapter 6 – 

Discussion and Conclusion). 

 

5.2.1 General information on Survey Participants 
Overall, 49 out of 52 survey participants provided responses to the survey. Three responses have 

been  excluded  from  the  analysis  due  to  significant  missing  data.  Thus,  the  responses  presenting 

opinions  of  46  survey  participants  are  presented  in  this  section.  The  high  response  rate  for  the 

survey (94%) eliminates the potential for coverage error and non‐response bias. Please see Table 15 

with the summary statistics on the respondents’ background information. 

The responses include 31 male (67%) and 15 female (33%) survey respondents (Table 16). The 

age  data  shows  that  the  majority  of  the  survey  participants  are  middle‐career  and  senior‐career 

professionals (89%), with just 11% of respondents representing 0‐30 age group (Table 16).  

 
 
 

  77

Table 15. Survey results: general information on the survey participants 

Statistics
  Gender   Age 

 
Professional 
occupation  

Type of agency a 
respondent works for

Years of 
experience 

Years of 
Int’l 

experien
ce 


Valid  46  44 46 46 46  46
Missing  0  2 0 0 0  0

Mean  ‐  3.05 ‐ ‐ 2.28  ‐
Minimum  1  1 1 1 1  0
Maximum  2  5 6 7 5  1

Note on Coding: 
1=male 
2=female 

1=0‐30
2=31‐40 
3=41‐50 
4=51‐60 
5=60+

1=project 
manager/team leader 
2=engineer/technical 
3=trainer/educator 
4=monitoring/eval. 

5=community mobilizer
6=other

1=international or local 
donor agency 

2= international /local NGO 
3=governmental agency 

4= community‐based org.
5= education institution 

6= consulting or research 
7= private sector

0=other

1=0‐5 years 
2=6‐10 years 
3=11‐20 years 
4=21‐30 years 
5=30+ years 

0=no
1=yes

 
 

Table 16. Survey results: gender and age of the survey participants 

Gender 
  Frequency Percent Valid Percent Cumulative Percent 

 

male  31 67.4 67.4 67.4 

female  15 32.6 32.6 100.0 

Total  46 100.0 100.0

Age 
  Frequency Percent Valid Percent Cumulative Percent 

 

0‐30  5 10.9 11.4 11.4 

31‐40  10 21.7 22.7 34.1 

41‐50  13 28.3 29.5 63.6 

51‐60  10 21.7 22.7 86.4 

60+  6 13.0 13.6 100.0 

Total  44 95.7 100.0

Missing  9  2 4.3

Total  46 100.0

 

Figure 20 illustrates the distribution of the survey participants by the main age categories: 

30% of respondents fall into the 41‐50 years category, while 22% in each fall into the age categories 

of 31‐40 and 51‐60 years
13
.  

13
 The official retiring age in Tajikistan is 58 for women and 63 for men. Source World Bank (WB): 

http://wbl.worldbank.org/data/exploreeconomies/tajikistan/2011?topic=getting‐a‐job  

  78

  
 
 
 
 
 
 
 

Figure 20. Survey results: age distribution of the survey participants 

The  frequencies  on  the  professional  occupation  illustrate  that  the  dominant  group  of 

respondents  occupy  managerial  positions  (50%)  and  are  responsible  for  the  management  of  the 

water  related  projects  (Table  17).  Meanwhile,  the  dominant  group  for  the  type  of  agency  the 

respondents  worked  for  at  the  time  of  the  survey  represents  international  and  local  donor  and 

implementing agencies (52%) (Table 17).  

Table 17. Survey results: professional occupation and type of agency the survey participants represent 

Professional occupation
  Frequency Percent Valid Percent Cumulative 

Percent 
 

project manager/team leader  23 50.0 50.0 50.0 
engineer/technical worker  6 13.0 13.0 63.0 
trainer/educator  4 8.7 8.7 71.7 
monitoring/evaluation  4 8.7 8.7 80.4 
community mobilizer  1 2.2 2.2 82.6 
other  8 17.4 17.4 100.0 
Total  46 100.0 100.0

 
Type of agency a respondent works for 

  Frequency Percent Valid Percent Cumulative 
Percent

 

international or local donor 
agency 

9 19.6 19.6 19.6

international or local NGO  15 32.6 32.6 52.2
governmental agency  9 19.6 19.6 71.7
community‐based 

organization 

7 15.2 15.2 87.0

consulting or research 
institution 

4 8.7 8.7 95.7

private sector  2 4.3 4.3 100.0
Total  46 100.0 100.0  

  79

The  frequency  distribution  for  years  of  experience  in  rural  drinking  water  supply  project 

demonstrates that the population represents a group of highly experienced professionals in drinking 

water supply. Thus 72% of respondents indicated having over five years of experience, while only 

28% with  less than five years (Table 18). Meanwhile, few respondents have  indicated having any 

international  experience  (20%)  and  a  vast  majority  having  experience  with  drinking  water  supply 

projects exclusively at the local level (see Table 18). 

 

Table 18. Survey results: years of experience of the survey participants  

Years of experience

  Frequency Percent Valid Percent Cumulative Percent

 

0‐5 years  13 28.3 28.3 28.3
6‐10 years  14 30.4 30.4 58.7
11‐20 years 14 30.4 30.4 89.1
21‐30 years 3 6.5 6.5 95.7
30+ years  2 4.3 4.3 100.0
Total  46 100.0 100.0  

 
 

The  same  demographics  for  the  survey  participants  were  cross‐tabulated  to  see  if  any 

variability  exists  across  the  gender  of  respondents  (Table  19).  The  cross‐tabulation  shows  that 

females tend to occupy positions within governmental type of agencies least likely than in any other 

type  of  agencies,  while  male  respondents  dominate  in  all  categories  of  the  listed  categories  of 

agencies. In addition, female respondents tend to have less years of professional experience, than 

male respondents, which can be attributed to the historical fact of the water sector being dominated 

in  general  by  male  survey  respondents  (Table  19).    For  more  information  on  survey  participants 

please see Annex O – Crosstab of survey results: General Information on Survey Participants. 

 

Years of International experience

  Frequency Percent Valid Percent Cumulative Percent

 
No  37 80.4 80.4 80.4
Yes  9 19.6 19.6 100.0
Total  46 100.0 100.0

 

80

Table 19. Survey results: Cross‐tabulation of gender by type of agency and years of experience  

  Type of agency a respondent works for
donor 
agency 

local 
NGO 

government
al agency 

community‐
based 

organization 

consulting or 
research 
institution 

private 
sector 

total

Gender 
male  8  9 8 3 2  1  31
female  1  6 1 4 2  1  15

Total  9  15 9 7 4  2  46

 

  Years of experience (n)  

Total0‐5 years  6‐10 years 11‐20 years 21‐30 years 30+ years 

Gender 
male  6  9 11 3 2  31
female  7  5 3 0 0  15

Total  13  14 14 3 2  46

5.2.2 Project Sustainability and Community Participation 

Community  participation  in  drinking  water  supply  projects  has  been  unanimously  agreed,  by  all 

survey participants, as imperative for project sustainability. None of 46 survey respondents indicated 

that  community  participation  is  unimportant  for  project  sustainability:  while  20%  indicated  that 

community  participation  is  ‘important’,  80%  of  the  respondents  agreed  that  community 

participation is ‘very important’ for project success (Table 20).   

Table 20. Survey results: community participation 

Importance of community involvement for sustainable projects 
  Frequency Percent Valid Percent Cumulative 

Percent 

  very unimportant  0 0 0  0

  unimportant  0 0 0  0

  neutral  0 0 0  0

 

important  9 19.6 19.6  19.6
very important  37 80.4 80.4  100.0

Total  46 100.0 100.0  

   

For nine predefined project sustainability factors, the respondents indicated three factors as 

the most relevant for project success: (i) availability of community’s financial resources to maintain 

projects  (M=4.04),    (ii)  technical  and  institutional  support  of  local  authorities  (M=4.22),  and  (iii) 

training  and  knowledge  of  community  members  who  maintain  projects  (M=4.15)  (Table  22). 

  81

Community’s  spare  time,  physical  health,  formal  education,  as  well  as  post‐construction  donor 

support  have  been  rated  as  ‘moderately  relevant’  factors  for  project  sustainability.  Interestingly, 

‘gender  of  community  members’  who  maintain  projects  was  also  found  ‘moderately  relevant’, 

similar to the factor of ‘age of community members’ (Table 21).  

Table 21. Survey results: relevance of potential factors of project sustainability 

Factors 
 

Mean N Std. Deviation

Technical and institutional support of local authorities 4.22 46  1.191
Training and knowledge of community members 4.15 46  1.414
Community’s financial resources to maintain projects 4.04 46  1.173
Physical health of community members who maintain projects 3.70 46  1.245
Community’s spare time to maintain projects 3.57 46  1.241
Post‐construction donor support and monitoring 3.30 46  1.590
Formal education of community’s members 3.24 46    1.214
Gender of community members who maintain projects 2.93 46  1.373
Age of community’s members who maintain projects 2.78 46  1.031
 

Note on coding: 1=least relevant, 2=less relevant, 3=moderately relevant, 4=relevant, 5=most relevant 

 
 
 

To generate further analysis, the same nine predefined factors of project sustainability were 

computed  into  ‘summated  index’.  In  SPSS  the  summated  index  function  allows  one  to  compute 

several variables into one new variable.  For that, the means for the factors were summed into grand 

point  average  scale  (GPA)  and  a  new  variable  label  was  added  (GPAPRACT).  By  doing  so,  I  am 

interested  if  the  respondents’  demographic/background  information  (gender,  age,  years  of 

experience,  type  of  agencies  the  respondents  work  for)  influenced  the  perception  of  the 

respondents on the factors of sustainability, and if any strength of association can be identified. This 

analysis demonstrates that the middle and senior career specialists of age 31‐50 gave higher GPA 

score (M=3.74, M=3.62) to the listed factors of sustainability overall (Table 22b). Moreover, female 

respondents graded the sustainability factors higher than male respondents (Table 22a). As for the 

type  of  agencies  the  respondents  represented,  the  first  four  categories  of  agencies  (i.e.  donor 

agencies, local NGOs, governmental agencies and community‐based organizations) produced similar 

GPA  (M=3.40‐3.59)  equivalent  to  ‘moderately  relevant’  (Table  22d).  Years  of  experience  GPA 

demonstrates  an  interesting  case,  with  the  mean  tending  to  decrease  with  increasing  years  of 

  82

experience of the respondents (Table 22e). The latter allows assuming that the more experience the 

respondents gained in implementing drinking water supply projects, the greater effort was taken to 

assess the survey questions. In other words, respondents with more experience seem to be more 

critical in considering the proposed project sustainability factors. 

 

Table 22. Survey results: means report for GPA by gender, age, professional occupation and type of agency  
 

a. Gender  Mean  N 

Std. 
Deviation 

b. Age Mean N  Std. 
Deviation 

male  3.4982  31  .60510 0‐30 3.5333  5  .30832
female  3.6519  15  .48408 31‐40 3.7444  10  .27242
Total  3.5483  46  .56772 41‐50 3.6239  13  .51826

      51‐60 3.4778  10  .52653
      60+ 3.2037  6  1.12747
      Total 3.5505  44  .57758

  

c. Professional occupation 
 

Mean N Std. Deviation 

project manager/team leader  3.5556 23 .60950 
engineer/technical worker  3.1481 6 .63893 
trainer/educator  3.6944 4 .24637 
monitoring/evaluation 3.7778 4 .39545 
community mobilizer  3.6667 1 . 
other  3.6250 8 .57563 
Total  3.5483 46 .56772 

   

d. Type of agency a respondent works for
 

Mean N Std. Deviation 

international or local donor agency  3.4074 9 .60858 
international or local NGO  3.5778 15 .61607 
governmental agency  3.5679 9 .56230 
community‐based organization  3.5873 7 .32530 
consulting or research institution  3.9722 4 .46592 
private sector  2.8889 2 .78567 
Total  3.5483 46 .56772 

   

e. Years of experience
 

Mean N Std. Deviation 

0‐5 years  3.7521 13 .35762 
6‐10 years  3.6825 14 .54582 
11‐20 years  3.4365 14 .58057 
21‐30 years  3.4074 3 .39021 
30+ years  2.2778 2 .39284 
Total  3.5483 46 .56772 
Note on coding: 1=least relevant, 2=less relevant, 3=moderately relevant, 4=relevant, 5=most relevant 

  83

The ANOVA tables and effect size
14
 statistics generated from the above data demonstrate 

that the statistical difference  is only between the means for ‘years of experience’ and summated 

index on project sustainability factors
15
:  F=4.255 and p< .05 (Table 23).  

 

Table 23. Survey results: ANOVA for GPA by gender, age, professional occupation, type of agency  
ANOVA Table

  Sum of 
Squares 

df Mean 
Square 

F  Sig.

GPAPRACT *

 
Gender 

Between Groups  (Combined) .239 1 .239  .736  .396
Within Groups  14.265 44 .324    
Total  14.504 45    

GPAPRACT * 
Age 

Between Groups 

(Combined) 1.222 4 .306  .908  4.69
Linearity .693 1 .693  2.061  1.59
Deviation from 
Linearity 

.529 3 .176  .524  .668

Within Groups  13.122 39 .336    
Total  14.345 43    

GPAPRACT * 
Professional 
occupation 

Between Groups 

(Combined) 1.319 5 .264  .800  .556
Linearity .153 1 .153  .464  .500
Deviation from 
Linearity 

1.166 4 .292  .884  .482

Within Groups  13.185 40 .330   
Total  14.504 45    

GPAPRACT * 
Type of 
agency a 
respondent 
works for 

Between Groups 

(Combined) 1.794 5 .359  1.129  .361
Linearity .038 1 .038  .119  .732
Deviation from 
Linearity 

1.756 4 .439  1.382  .257

Within Groups  12.709 40 .318   
Total  14.504 45    

GPAPRACT * 
Years of 
experience 

Between Groups 

(Combined) 4.255 4 1.064  4.256  .006
Linearity 3.017 1 3.017  12.069  .001
Deviation from 
Linearity 

1.239 3 .413  1.652  .192

Within Groups  10.248 41 .250   
Total  14.504 45    

Note on coding: 1=least relevant, 2=less relevant, 3=moderately relevant, 4=relevant, 5=most relevant 
 

The  results  on  eta  or  the  effect  size,  that  provides  a  measure  of  association  between 

variables, suggests that only one variable ‐ ‘years of experience’ with eta of .542 has a ‘substantial’ 

influence on respondents’ reported grand point average, while the rest of the variables demonstrate 

‘typical’ strength of relationship
16
 (Table 24). 

14
 Measures the strength of association between variables  

15
 Anova analysis says that the statistical difference of at least of one means exists

16
 Eta: minimal relationship = .10, typical relationship = .243, substantial relationship = .371 (Source: Vaske, 2008: p.108) 

  84

 
Table 24. Survey results: effect size for GPA by gender, age, professional occupation, type of agency and years 
of experience 

Measures of Association (eta) 

  R R Squared Eta  Eta Squared

GPAPRACT * Gender  .128  .016

GPAPRACT * Age  ‐.220 .048 .292  .085

GPAPRACT * Professional occupation  .103 .011 .302  .091

GPAPRACT * Type of agency a respondent works for .051 .003 .352  .124

GPAPRACT * Years of experience  ‐.456 .208 .542  .293

 

As  for  the  years  of  sustainable  project  operation,  the  majority  of  the  respondents  (44%) 

agreed  that  projects  should  operate  for  the  ‘entire  designed  lifetime’,  so  as  to  be  considered 

sustainable (Figure 21). Others opted for the option of indicating years of operation: 17% for 0‐10 

years of operation, 22% for 11‐20 years of operation, and 11% for 21‐30 years of operation (Table 

22e).   The cross‐tabulation of the same variable across gender shows that while the frequency of 

female  respondents  tend  to  be  almost  equally  distributed  among  all  response  categories,  the 

majority of the male respondents voted for the ‘entire lifespan’ category (Table 25).  

Figure 21. Survey results: respondents’ opinions on years of operation for sustainable projects 

 

  85

Table 25. Survey results: years of operation for sustainable projects 

Years of operation for sustainable projects 
  Frequency  Percent  Valid Percent  Cumulative Percent 

Valid 

0‐10 years  8 17.4 17.4  17.4

11‐20 years  10 21.7 21.7  39.1

21‐30 years  5 10.9 10.9  50.0

more than 30 years  3 6.5 6.5  56.5

for the entire lifespan  20 43.5 43.5  100.0

Total  46 100.0 100.0  

    

5.2.3 Participatory Role of Women 

Several survey questions have asked survey respondents, the practitioners of rural drinking water 

supply projects in Tajikistan, to reveal the opinions on the perception of women’s role for project 

sustainability  and  thus  attempting  to  respond  to  research  question  (2)  ‐  Which  forms  and 

components  of  women’s  participation  are  positively  (or  negatively)  associated  with  project 

sustainability? and to research question (3) – Do practitioners believe that women’s participation 

positively contributes to project success? 

First,  to  get  a  broader  picture  on  the  perceptions  of  survey  participants  on  women’s 

participation and project sustainability, survey questions were designed in such a way as to see if the 

participatory role of women was seen  in any way different from the participatory role of men  in 

drinking water supply projects (see Annex E – Survey tool). Thus, the survey participants were first 

asked to measure the level of the importance of both male and female participation during and after 

project  implementation  (construction)  activities.  The  results  show  that  in  general  both  male  and 

female community participation during and after project implementation are perceived as important 

for project sustainability, and were ranked quite similar (Table 26).  

Gender * Years of operation for sustainable projects Crosstabulation 
  Years of operation for sustainable projects Total 

0‐10 years  11‐20 years 21‐30 years more than 30 
years 

for the entire 
lifespan 

Gender 
male  5  6 2 1 17  31

female  3  4 3 2 3  15

Total  8  10 5 3 20  46

  86

 

Table 26. Survey results: male and female participation for project sustainability (1) 

Statistics_ Importance of participation of

  males during the 

construction 

females during the 

construction

males in operation and 

maintenance

females operation and 

maintenance


Valid  46 46 46  46

Missing  0 0 0  0

Mean  4.80 4.54 4.78  4.76

Median  5.00 5.00 5.00  5.00

Mode  5 5 5  5

Std. Deviation  .453 .585 .417  .524

Variance  .205 .343 .174  .275

Minimum  3 3 4  3

Maximum  5 5 5  5

Note on Coding: 1 = very unimportant, 2 = unimportant, 3 = neither important nor unimportant, 4 = important, 5 = very important

 

A closer look indicates that male participation scores a slightly higher importance rank than 

female  participation:  with  women’s  participation  means  of  4.54  and  4.76  (‘important’  to  ‘very 

important’) during and after project  implementation, and men’s participation with the respective 

means of 4.80 and 4.78  (‘important’ to ‘very important’) (Table 26). The latter has confirmed the 

pervious  results  on  the  importance  of  overall  community’s  participation  for  project  success  (see 

section  5.2.2)  and  that  the  respondents  do  not  assign  any  significant  differentiation  in  the 

participatory role of men or women in the projects. This has also been strengthened by the fact that 

none of the respondents believed that participation of either men or women was ‘unimportant’ for 

project success.  

A closer comparative analysis on frequencies shows that male participation is generally placed 

at a higher importance rank than female participation for each type of participatory activities (Table 

27).  While  men’s  participation  during  the  project  construction  scored  83%  of  responses  as  ‘very 

important’, women’s participation was only 59% (Table 27). Furthermore, female participation after 

the project completion scored 80% and male participation slightly  less of 78% of ‘very  important’ 

(Table 27). Thus, this shows that while participation of men is perceived as more important during 

  87

project construction, the participation of women is seen as more valuable  in the phase of project 

operation and maintenance (post‐construction). 

Table 27. Survey results: male and female participation for project sustainability (2) 

Importance of male and female participation during the construction of the project  
  Men Women 
  Frequency Percent Frequency  Percent

 

neutral  1 2.2 2  4.3
important  7 15.2 17  37.0
very important  38 82.6 27  58.7
Total  46 100.0 46  100.0

 

Importance of male and female participation in the project operation and maintenance, once a project is 
constructed 

  Men Women 
    Frequency Percent Frequency  Percent
  neutral  0 0 2  4.3

 
important  10 21.7 7  15.2
very important  36 78.3 37  80.4
Total  46 100.0 46  100.0

 

It is worth noting that although none of the respondents indicate that any (male or female) 

participation  is unimportant for project success, the presence of  ‘neutral’ responses for women’s 

participation from male survey respondents assumes that there is some sort of skepticism about the 

effectiveness of women’s participation still exists (Table 28). To contribute further to the research 

question (2), six pre‐defined types of  project activities  in which participation of women could  be 

beneficial were analyzed (Table 28).  As can be seen from the Table 28, community mobilization for 

construction (M=4.46), organization of education and awareness campaigns (M=4.13) and collection 

of fees for repair (M=4.20) have scored higher mean values than other types of community activities. 

Table 28. Survey results: women’s participation for project sustainability 

Statistics 

  planning 

and design  
community 
mobilization 

for 
construction 

education 
and 

awareness 
campaigns  

Collection of 
fees for 

maintenance 
and repair  

organizatio
n of repairs  

regular 
monitoring 
and data 
collection  


Valid  46  46 46 46 46  46
Missing  0  0 0 0 0  0

Mean  4.04  4.46 4.13 4.20 3.98  3.96
Std. Deviation  .729  .622 .957 .749 .802  .893
Variance  .531  .387 .916 .561 .644  .798
Note on Coding: 1 = very unimportant, 2 = unimportant, 3 = neither important nor unimportant, 4 = important, 5 = very important

  88

The  comparison  of  the  means  for  these  project  activities  both  for  male  and  female 

participation  shows  that  women’s  participation  in  two  post‐project  activities,  i.e.  ‘education  and 

awareness campaigns before and during construction’ (M=4.13) and  ‘collection of fees of project 

maintenance  and repair’  (M=4.20) have been found  as more  important  for project sustainability, 

compared to similar for male participation, i.e. M=4.00 and M=4.15 respectively (Table 29). As for 

the  rest  of  the  activities,  the  participation  of  men  is  considered  as  slightly  more  important  than 

participation of women. 

Table 29. Survey results: male and female participation for project sustainability (3) 

Type of project activity  Male 
participation 
(mean)  

Female 
participation 
(mean) 

Planning and design   4.41 4.04 
Community mobilization for construction 4.63 4.46 
Education and awareness campaigns before and during construction 4.00 4.13 
Collection of fees for maintenance and repair 4.15 4.20 
Organization of repairs or mobilization of community members for repair 4.37 3.98 
Regular monitoring and data collection  3.78 3.96 
Note on Coding: 1 = very unimportant, 2 = unimportant, 3 = neither important nor unimportant, 4 = important, 5 = very important

 
 

Hypothesis testing 

To respond to the second part of the research sub‐question 3 (Do practitioners believe that women’s 

participation positively contributes to project sustainability?), the chi‐square analysis was performed 

through cross‐tabulation. That the hypothesis to the research sub‐question has been restated into a 

statistical form: 

H0:  Respondents  do  not  believe  that  women’s  participation  is  important  for  project 

sustainability and their opinions are not influenced by respondents’ gender  

H1:  Respondents  believe  that  women’s  participation  is  important  for  project 

sustainability and their opinions vary across gender 

  89

First,  the  responses  to  two  survey  sub‐questions  (3.3b
17
 and  3.4b

18
)  were  used  to  test  the 

hypothesis.  For  that,  the  five‐level  response  categories  for  both  questions  were  recoded  into 

dichotomous response categories (0=neutral/unimportant and 1=important or very important). The 

frequency  statistics  from  the  cross‐tabulation  on  the  dependent  variable  (importance  of  women 

participation) and independent variable (gender) are presented in Table 30.  

 

Table 30. Survey results: hypothesis testing for RQ3_ frequencies (1) 

Crosstab_importance of women’s participation by gender
  Gender  Total

male  female 

Q3.3b: Importance of participation of 
female community members during 
the construction of the project for 
project sustainability 

neutral/ 

unimportant 

Count 2  0  2

% within Gender 
6.5%  0.0% 

4.3%

Important/ 
very important 

Count 29  15  44

% within Gender 
93.5%  100.0% 

95.7%

Total 
Count 31  15  46
% within Gender 100.0%  100.0%  100.0%

Q. 3.4b: Importance of participation of 
female community members in the 
project operation and maintenance, 
once the project is constructed 

neutral/unimporta
nt 

Count 2  0  2
% within Gender 
6.5%  0.0%  4.3%

important 
Count 29  15  44

% within Gender 
93.5%  100.0%  95.7%
Total 
Count 31  15  46
% within Gender 100.0%  100.0%  100.0%
 

For  both  of  the  survey  questions,  95.7%  of  respondents  (n=44)  believed  that  women’s 

participation  is  important  for project sustainability, while the remaining  4.3% of the respondents 

(n=2) reported women’s participation as neutral/unimportant for project sustainability. To test if the 

responses of the male and female respondents were influenced by gender, the chi‐square statistics 

is presented in Table 31. The high probability level of .314 (p>.05) associated with Pearson X
2
 (1.012) 

indicates that it is unlikely that two variables are dependent on the population, implying that there is 

no  statistical  relationship  between  the  gender  of  respondents  and  the  perception  of  the 

17
 For a project to be sustainable how important is participation community members (female) in activities 

during the construction of the project?  
18
 For a project to be sustainable, how important is the participation of community members (female) in the 

project operation and maintenance, once the project is constructed?

  90

respondents  on  importance  of  women’s  participation  for  project  sustainability  during  and  after 

project  implementation  (Table  31).  The  Likelihood  Ratio  (LR)  confirms  the  latter  with  the  high 

probability  value  of  p>.05.  Thus,  I  report  a  fail‐to‐reject  the  null  Hypothesis  (Ho):  There  is  no 

statistical difference between the perception of male and female respondents on the importance of 

women’s participation for project sustainability.  

 

Table 31. Survey results: Hypothesis testing for RQ3 _ chi‐square (1) 

Chi‐Square Tests
Q 3.3b   Value

     

 

         df Asymp. Sig. (2‐sided) 

Pearson Chi‐Square  1.012
a

1 .314 
Continuity Correction

b
  .055 1 .814 

Likelihood Ratio  1.622 1 .203 

Fisher’s Exact Test 

Linear‐by‐Linear Association 
.990 1 .320 

N of Valid Cases                                              46      

 

     

 
Q 3.4b  Value  df 

 
Asymp. Sig.  
(2‐sided) 

Pearson Chi‐Square  1.012
a
1 .314 
Continuity Correction
b
  .055 1 .814 
Likelihood Ratio  1.622 1 .203 

Fisher’s Exact Test   

Linear‐by‐Linear Association  .990 1 .320 

N of Valid Cases     46  
a. 2 cells (50.0%) have expected count less than 5. The minimum expected count is .65. 
b. Computed only for a 2×2 table 

 
 

For triangulation purposes the same hypotheses has been tested on the additional survey sub‐

questions  (statements  5.4
19
 and  5.5

20
).  The  Table  32  shows  case  frequencies,  indicting  the 

percentage of disagreement with each statement by gender. The chi‐square analysis on the data 

shown in the Table 32, provides the same results: the high probability level (p>.05) associated with 

Pearson X
2
 (3.277 and 1.553)  indicates that  it  is unlikely that two variables are dependent on the 

19
 Participation of women during the project construction does not contribute to the project 

success and 

sustainability 
20
 Participation of women in the project operation and maintenance (post‐construction phase) 

does not 

contribute to the project success and sustainability 

  91

population, thus  it  is confirmed that the respondents were consistent on their responses and the 

Null Hypothesis is fail‐to‐reject (see Table 33). 

Table 32. Survey results: hypothesis testing for RQ3_ frequencies (2) 

Crosstab
  Gender Total

male female 

Q.5.4 Participation of women 
during the project construction 
does not contribute to 

the project 

sustainability 

disagree 
Count 28 12  40
% within Gender 96.6% 80.0% 

90.9%

agree  Count  1
 
3  4

% within Gender 3.4% 20.0% 

9.1%

Total  Count  29
 

15  44
% within Gender 100.0% 100.0%  100.0%

 
Gender 
 
 

Totalmale female 

Q.5.5 Participation 

of women in the 

project operation and maintenance 
does not contribute to the project 
sustainability 

disagree 
Count 28 15  43
% within Gender 90.3% 100.0% 

93.5%

agree  Count  3
 
0  3

% within Gender 9.7% 0.0% 

6.5%

Total  Count  31
 

15  46
% within Gender 100.0% 100.0%  100.0%

 

Table 33. Survey results: Hypothesis testing for RQ3 _ chi‐square (2) 

Chi‐Square Tests
Q.5.4  Value df

Asymp. Sig. (2‐sided) 

Pearson Chi‐Square  3.277
a

1 .070 
Continuity Correction

b
  1.580 1 .209 

Likelihood Ratio  3.096 1 .078 
Fisher’s Exact Test 
Linear‐by‐Linear Association  3.203 1 .074 
N of Valid Cases  44
a. 2 cells (50.0%) have expected count less than 5. The minimum expected count is 1.36.
b. Computed only for 2×2 table  
 

Value  df 
 

Asymp. Sig. (2‐sided) 

Pearson Chi‐Square  1.553
a

1 .213 
Continuity Correction

b
  .371 1 .542 

Likelihood Ratio  2.468 1 .116 
Fisher’s Exact Test 
Linear‐by‐Linear Association  1.519 1 .218 
N of Valid Cases  46
a. 2 cells (50.0%) have expected count less than 5. The minimum expected count is .98.
b. Computed only for a 2×2 table 

 
 
 

  92

These findings also compliment the findings to Research Question 2 (Which forms of women’s 

participation  are  positively  associated  with  project  sustainability?).  Data  presented  in  Table  32 

demonstrates that 90.9% of respondents disagree that ‘participation of women during the project 

construction does not contribute to the project success’, while 93.5% disagree that ‘participation of 

women in the project operation and maintenance does not contribute to the project success’. This 

confirms  the  previous  finding  that  the  form  of  women’s  participation  related  to  post‐project 

construction activities (project maintenance) is seen as more valuable than women’s participation in 

before and during construction. 

 
5.2.4 Additional analysis 
Additional analysis has been explored to reveal the opinions of practitioners on the specific country‐

context statements on women’s participation and the importance of various attributes of men and 

women  in relation to project sustainability. Thus, results show that most of the male and female 

attributes are assigned at a generally same level, except for  ‘religion’ attribute, which resulted in the 

least means both for male and female respondents (equivalent to ‘unimportant’) (Table 34). 

 

Table 34. Survey results: attributes of male and female participants 

Attribute  Men (mean) Female (mean)
 

Age  3.41 .350 
Marital status  3.09 3.28 
Physical health  3.65 3.72 
Religion  2.83 2.63 
Employment status 3.13 3.13 
Reputation/  trust  of 
community 

4.41 4.43 

Knowledge/skills  4.39 4.39 
 
Note on Coding: 1 = very unimportant, 2 = unimportant, 3 = neither important 
nor unimportant, 4 = important, 5 = very important

   

Two attributes, ‘reputation’ and ‘knowledge and skills’ of both male and female community 

members  who  manage  projects,  stand  out  from  the  rest  and  are  believed  to  have  a  greater 

relevance to project success (M=4.41 and 4.43; M=4.39 and 4.39).  

  93

Meanwhile,  the  opinions  of  practitioners  on  the  surveyed  country‐specific  statements 

demonstrate  some  variation.  The  statistics  on  the  means  for  the  seven  statements  show  that 

respondents tend to disagree more with the assumption that ‘women in Tajikistan have equal rights 

to participate’ (st.dev = .482), ‘women are given more opportunities to participate’ (st.dev = .505), 

‘women  are  capable  of  implementing  role  of  project  operation’  (st.dev  =  .387),  that  ‘women’s 

participation in project is symbolic’ (st dev = .315) (Table 35). Furthermore, the opinions of male and 

female respondents to the country‐specific statements in general seem to follow the same trend of 

peaks  and  downs  (in  percentages)  with  no  significant  differences  between  male  and  female 

responses (Figure 22).  

Table 35. Survey results: agreements to the country‐specific statements 

Statement  N Mean 
response 

Std. 
Deviation 

5.1  Women  in  Tajikistan  presently  have  equal  rights  (to  men)  to 
participate in the implementation and maintenance of projects

46 .65  .482

5.2 It is important for the sustainability of the project that women have 
equal rights (to men) to participate in projects

46 .95  .206

5.3  Women  are  given  more  opportunities  (by  donors,  implementing 
agencies and/or local authorities) to participate in projects

46 .48  .505

5.4  Participation  of  women  during  the  project  construction  does  not 
contribute to the project sustainability 

44 .09  .291

5.5  Participation  of  women  in  the  project  operation  and  maintenance 
does not contribute to the project sustainability

46 .07  .250

5.6 Women are capable of implementing the role of 

project operation 

and maintenance 

effectively 

45 .82  .387

5.7 Women’s participation in projects is symbolic and 

have no positive 

effects on project success and sustainability

46 .11  .315

 
Note on coding: 1=agree, 0=disagree 

 

Meanwhile,  while  most of the male (97%)  and female  (93%) respondents  agree that  it  is 

important for the sustainability of the project that ‘women have equal rights to men to participate’ 

(Q.5.2), 32% of male and 40% of female responses indicated that ‘women in Tajikistan presently do 

not have equal rights to men to participate’ (Q.5.1). Meanwhile, 52% of male and 40% of female 

respondents  believe  that  ‘women  are  given  more  opportunities  by  donors  and  implementing 

agencies to participate’ (Q.5.3) (Table 36). 

  94

 

 
 
 
 
 
 
 
 
 
 

Figure 22. Survey results: agreements/disagreements to statements by gender (1) 
 
 
Table 36. Survey results: frequencies of agreements/disagreements with country‐context statements 

 Statements  Gender  Total
male female 

5.1 Women in Tajikistan presently have 

equal rights (to 

men) to participate in the implementation and 
maintenance 

of projects 

disagree
10

32.3%

40.0% 
16

43.8%

agree 
21

67.7%

60.0% 
30

65.2%

5.2 It is important for the sustainability of 

the project that 

women have equal rights (to men) to 

participate in 

projects 

disagree
1

3.2%

6.7% 
2

4.3%

agree 
30

96.8%
14 

93.3% 
44

95.7%

5.3 Women are given more opportunities (by 

donors, 

implementing agencies and/or local authorities) to 
participate in projects 

disagree
15

48.4%

60.0% 
24

52.2%

agree 
16

51.6%

40.0% 
22

47.8%

5.4 Participation of women during the project construction 
does not contribute to the project sustainability 

disagree
28

96.6%
12 

80.0% 
40

90.9%

agree 
1

3.4%

20.0% 
4

9.1%

5.5 Participation of women in the project operation and 
maintenance does not contribute to the project 
sustainability 

disagree
28

90.3%
15 

100.0% 
43

93.5%

agree 
3

9.7%

0.0% 
3

6.5%

5.6 Women are capable of implementing the role of 
project operation and maintenance effectively 

disagree
6

20.0%

13.3% 
8

17.8%

agree 
24

80.0%
13 

86.7% 
37

82.2%

5.7 Women’s participation in projects is symbolic and have 
no positive effects on project success and sustainability 

disagree
26

83.9%
15 

100.0% 
41

89.1%

agree 
5

16.1%

0.0% 
5

10.9%

0
20
40
60
80

100

d
i

a
g
re
e

a
g
re
e

d
ia
g
re
e

a
g
re
e
d
ia
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re
e
a
g
re
e
d
ia
g
re
e
a
g
re
e
d
ia
g
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e
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ia
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a
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e

5.1 5.2 5.3 5.4 5.5 5.6 5.7

P
e
rc
e
n
ta
g
e

Statements

men

women

  95

Furthermore,  16%  of  male  respondents  believe  that  ‘participation  of  women  is  symbolic’ 

and has no positive impact on project success (Q.5.7), while 20% of male respondents disagree that 

‘women  are  capable  of  implementing  the  role  of  project  operation  and  maintenance  effectively’ 

(Q.5.6).  Interestingly,  13%  of  female  responses  also  disagreed  with  the  latter  statement,  which 

suggests that there is some sort of disagreement exists among female respondents too. Even more 

surprising  is  20%  of  female  respondents  agreeing  with  the  statement  that  the  ‘participation  of 

women during project construction does not contribute to project success’ (Q.5.4), while only 3% of 

men  agreed  to  the  same  statement  (Table  36).  This  eliminated  the  assumption  that  female 

responses could be biased towards the supporting a greater role of women for project sustainability, 

and some sort of skepticism or disagreement does exist among women too.  Please see Figure 23 for 

the overall distribution of responses among male and female survey participants and Annex P for 

more information on country‐specific statements. 

 
   
 
 
 
 
 
 
 

Figure 23. Survey results: agreements/disagreements to statements by gender (2) 

 

0 10 20 30 40 50 60 70 80 90 100

diagree

diagree
diagree
diagree
diagree
diagree
diagree

5
.1

5
.2

5
.3

5
.4

5
.5

5
.6

5
.7

Percentage

S
ta
te
m
e
n
ts

women
men

  96

CHAPTER 6: DISCUSSION AND CONCLUSION 

This  section  integrates  the  findings  of  the  meta‐analysis  of  the  studies  on  drinking  water  supply 

project sustainability in developing countries with the results of the online survey among the group 

of drinking water practitioners in the case study country of Tajikistan. In constructing the discussion, 

I first provide a synthesis of the findings to answer the research sub‐question (2) ‐ Which forms and 

components  of  women’s  participation  are  positively  (or  negatively)  associated  with  project 

sustainability? Then, the results of the online survey are discussed in greater detail to answer the 

research sub‐question (3) Do practitioners believe that women’s participation positively contributes 

to  project  sustainability?  Finally,  the  research  sub‐question  (1)  What  can  be  generalized  on  the 

impact  of  women’s  participation  to  the  project  success?  and  the  key  research  question  ‐  Does 

women’s  participation  in  donor‐funded  drinking  water  supply  projects  in  developing  countries 

contribute to project sustainability?, are discussed  linking to the established theory and  literature 

review  discussed  earlier.  The  limitations  of  the  research  findings  and  a  critical  reflection  on  the 

methodology  employed  are  also  discussed.  The  last  section  of  this  chapter  summarizes  the  key 

conclusions of this study and puts forward a set of practical recommendations for the realization of 

sustainable water supply projects in developing countries.  

 

6.1   Forms of women’s participation for project sustainability 

The components of women’s participation that have been argued across different studies on the 

sustainability of drinking water supply projects in developing countries are numerous and diverse. It 

has  been  found  through  the  meta‐analysis  of  39  studies,  that  15  studies  (39%)  discuss  women’s 

participation  as  linked  to  project  success.  Those  studies  prevailingly  argued  for  two  types  of 

women’s  participation  as  critical  for project  sustainability.  Namely,  (a)  participation  of  women  in 

decision‐making  activities  at  the  stage  of  project  planning  and  design  (n=10  or  26%),  and  (b) 

women’s  participation  in  management  of  constructed  systems,  that  includes  decision‐making 

activities at the stage of project maintenance, such as collection of fees for repairs (n=6 or 15%). The 

  97

results of the online survey with the practitioners on rural drinking water supply projects from the 

case study country indicated that women’s participation is considered more valuable compared to 

men’s participation in two types of project activities: (a) education and awareness campaigns before 

and  during  construction  (M=1.13),  and  (b)  collection  of  fees  for  project  maintenance  and  repair 

(M=1.20) (see p. 84, Section 5.2. Survey Results)  

The findings of the meta‐analysis and the online survey support each other. While the online 

survey  findings  are  more  specific  with  regard  to  type  of  participation  (i.e.  collection  of  fees  and 

education and awareness campaigns), the results on the meta‐analysis point out to the same types 

of  women’s  participation,  but  in  broader  terms  (i.e.  participation  in  planning  and  design,  and 

management/collection  of  fees).  Findings  suggest  that  participation  of  women  in  both  stages  of 

project implementation, i.e. before and after project construction is valuable and can contribute to 

project  success.  Namely,  involving  women  in  decision‐making  activities  at  the  stage  of  project 

planning and design, particularly by using their potential for community education and awareness 

campaigns, can contribute to  sustainable  projects.  Next,  involving women  in the decision‐making 

activities after the completion of the project, such as collection of fees for the project maintenance 

and repair is also important for project success.  

  It is important to mention, that the findings of the online survey and the meta‐analysis did 

not indicate that women’s participation could be counterproductive for the success of such projects. 

Thus,  the  participants  of  the  survey  did  not  believe  that  the  participation  of  women  was 

unimportant for project success. Similarly, the studies of the meta‐analysis that assessed women’s 

participation  and  project  sustainability  did  not  discuss  women’s  participation  as  an  inherently 

negative  strategy.  However,  it  is  worth  mentioning  that  the  meta‐analysis  results  support  some 

criticism  that  women’s  participation  in  sustainable  drinking  water  supply  projects  is  a  contested 

issue, and thus several studies
21
 discuss pitfalls which might occur when women’s participation  is 

ineffective,  problematic  and  nominal.  If  women’s  participation  is  not  taken  seriously  or  when 

21
 N=6 or 40% out of 15 that discuss women’s participation as a strategy for project success 

  98

women lack agency and power within a community (O’Reilly, 2004), women’s participation can be 

nominal  and  token  (Prokopy,  2004;  Singh,  2006)  and  even  problematic  for  the  successful 

implementation  of  drinking  water  projects  (Sultana,  2009).  Nevertheless,  this  criticism  does  not 

contradict the general belief that participation of all community stakeholders,  including women  is 

essential for successful implementation of drinking water projects. 

6.2   Perceptions of women’s participation 

The opinions of the practitioners on rural drinking water supply projects from the case study country 

indicate  that  women’s  participation  is  unanimously  seen  as  positively  contributing  to  project 

sustainability. Thus, overall 96% (n=46) of the survey participants perceived women’s participation 

as  important  for  project  success  both  at  the  stage  of  project  planning  and  implementation  and 

project  operation  and  maintenance,  whereas  insignificant  4.3%  (n=2)  of  the  respondents  took  a 

neutral  stand  on  this  (see  also  p.  83,  Section  5.2.  Survey  Results).  Neutral  opinions  on  women’s 

participation were expressed only by male respondents. However, gender of the respondents was 

not  found  to  be  a  significant  predictor  on  the  perception  of  respondents  on  ‘important  role  of 

women’s participation to project success’. Thus both male and female participants of the survey did 

not differ statistically in their views on the positive role of women’s involvement. 

  Respondents perceived that the attributes of women as the participants of projects do not 

differ from the attributes of male community members with regard to project sustainability. Thus, 

(a) reputation and trust of community, as well as (b) knowledge and skills to manage projects were 

found to be the most critical qualities for both male and female community members involved in the 

implementation of drinking water supply projects.   

6.3  Women’s participation and project sustainability 

Participation  of  female  community  members  is  perceived  by  the  practitioners  on  rural  drinking 

water  supply  projects  positively  and  viewed  as  one  of  the  potential  contributive  elements  for 

successful projects.   Stakeholders welcome women’s  involvement, as they do men’s  involvement. 

  99

Women’s  participation  are  found  to  be  particularly  valuable  in  some  specific  project  areas  (i.e. 

community  awareness,  collection  of  fees).  However,  women’s  participation  is  not  seen  by 

stakeholders,  involved  in  implementation,  as  a  miracle  formula  for  successful  projects.  Indeed, 

participation  of  both  male  and  female  community  members  is  viewed  as  a  prerequisite  for 

community‐managed  projects  and  should  be  an  imperative  foundation  for  such  projects.  The 

success of the projects depends more on the personal qualities of both men and women, rather 

then on their gendered distinction. This conclusion is supported by the arguments made in studies 

on the importance of coherent community participation, when both men and women are involved 

actively in project implementation (Admassu, Kumie, & Fantahun, 2003; Doe & Khan, 2004; FonJong, 

Nebasina, & Fonchingong, 2004; Prokopy, 2005; Garande & Dagg, 2005; Hoko & Hertle, 2006; Smith, 

2008; Whittington, et al., 2009). 

Why then has women’s participation come  into the discourse  in the first place as a success 

strategy  for  sustainable  water  projects?  The  fact  that  women  and  girls  in  poor  rural  community 

settings  of  developing  countries  carry  a  special  role  of  ‘water‐fetchers’  cannot  be  ignored.  Here, 

feminist theory comes into place, arguing that women historically were found to be closer to nature 

and water resources, and thus women’s family traditions and customs are strongly connected to the 

importance  of  having  access  to  fresh  water.  Furthermore,  the  feminist  scholarship  potentially 

contributed to the promotion of women’s rights in relation to access and control of water in 1990s 

(Rocheleau, Thomas‐Slayter, and Wangari, 1996).   Whether  it  is sufficient to say that women are 

more capable than men for the role of water providers, or that women are the only responsible 

party  for  the  sustainability  of  water  projects  is  subject  to  debate.  The  fact  that  women’s 

participation has been contested since the beginning of 2000s supports the argument that women’s 

participation should not be viewed as a panacea for solving sustainability problems of community‐

managed drinking water projects.  

What successful water projects share is equal and effective participation of men and women 

in  all  stages  of  project  implementation:  during  the  project  planning  and  construction  and  at  the 

  100

stage of project maintenance. Furthermore, women and men should not be viewed as two separate 

groups  within  a  community.  Heterogeneity  within  a  community  does  exist  due  to  various 

differentiations  based  on  social,  economic  and  cultural  aspects.  As  similarly  argued  in  the  earlier 

studies  by  Acharya,  Yoshino,  Jimba,  and    Wakai  (2007),  Singh  (2006),  and  Sultana  (2009),  the 

heterogeneity within women’s groups is closely linked to aspects of agency or capacity to act. The 

theoretical discourse of ‘power’ and ‘agency’ suggests that men and women with sufficient power to 

act (and manage drinking water projects) are capable of performing (the role of water providers) 

effectively. Indeed, as argued by Cleaver (2012) and Ahmed and Zwarteveen (2012), we should move 

beyond  the  simple  mapping  of  gendered  responsibilities  in  water  governance,  and  build  on  the 

concept  of  ‘agency’  that  helps  to  understand  capacity  or  power  relations  within  communities. 

Furthermore, as has been argued by Franks and Cleaver (2007), the framework of water governance 

is built on the concept of agency, where available resources and mechanisms managed by different 

actors shape the processes of water management and in turn produce gendered outcomes. In other 

words,  the  effective  management  of  water  resources  should  not  be  focused  on  ‘gendered’ 

phenomenons, where either men or women are seen as the only capable of effectively managing 

water resources, but the resources of power and agency within communities  should be seen as a 

key to project success.  

Community‐participation  has  established  strong  roots  as  an  effective  strategy  for  the 

implementation  of  community‐managed  drinking  water  projects.  Indeed,  implementation  of 

community‐managed projects without participation of community members  sounds  illogical, thus 

the  strategy  has  established  strong  evidence  in  the  literature.  However,  attempts  to  decouple 

community participation into the participation of either men or women and view it as a gendered 

phenomenon,  can  be  argued  as  a  reductionist  approach,  limited  to  account  for  complexities  of 

human agency. 

Meanwhile,  despite  the  overall  argument  of  this  research  that  both  male  and  female 

representatives  of  local  communities,  who  have  sufficient  and  adequate  power  and  agency  to 

  101

manage  drinking  water  supply  projects,  should  be  effectively  involved,  several  specific  forms  of 

community  participation  still  deserve  gendered  consideration.  As  the  results  suggest,  several 

decision‐making project activities, such as (a) organization of community awareness campaigns and 

(b)  collection  of  fees  for  project  repair  and  maintenance  can  be  found  as  more  effectively 

implemented  when  women’s  involvement  is  dominant,  thus  producing  more  valuable  and 

productive  results.  These  findings  are  consistent  with  several  prior  studies  suggesting  that  the 

involvement of women in decision‐making activities during project construction and maintenance is 

crucial for project success, especially within the communities where male traditionally dominate in 

decision‐making  (e.g.  James  et  al.,  2002,  Admassu,  Kumie,  and  Fantahun,  2003,  O’Reilly,  2004, 

Gleitsmann, Kroma, and Tammo, 2007, Aladuwaka and Momsen, 2010). Furthermore, issues such as 

corruption, unemployment, alcoholism are more common among the male population of many rural 

areas in developing countries, including Tajikistan. This explains this finding of believing why women 

should be more involved in managing monetary resources for project maintenance, thus leading to 

more  productive  results  and  producing  greater  potential  for  project  sustainability.  Certainly,  this 

cannot be claimed to happen equally  in rural communities of developing countries, and thus the 

societal and cultural complexities have to be taken into account. However, the need to involve more 

women in decision‐making cannot be ignored due to the historical fact of discrimination of women 

and exclusion from decision‐making in many poor rural areas of developing countries. 

6.4  Limitations and future research 

This  research  project  has  included  a  comprehensive  meta‐analysis  of  global  literature  on  the 

sustainability of drinking water projects, and a survey of views of the practitioners involved in rural 

drinking water projects in the case study country. This research contributes to the building of novel 

theories on project sustainability in the rural drinking water sector, and is the first research at such 

that  attempts  to  conduct  a  review  of  all  studies  assessing  sustainability  of  rural  drinking  water 

  102

projects.  However,  the  limitations  of  the  study  and  suggestions  for  future  research  need  to  be 

considered: 

(i) The available studies on the sustainability of rural drinking water projects in developing 

countries  are  limited  in  number,  and  those  predominantly  employ  only  qualitative  research 

methods. Thus, this meta‐analysis is limited to 39 studies and is based primarily on the consideration 

of  qualitative  findings,  which  makes  a  quantitative  meta‐analysis  on  this  topic  infeasible.  This 

suggests that more studies on the sustainability of drinking water projects should be conducted in 

the future, so as to produce quantitative research evidence. Furthermore, the selection method for 

identification of potential studies was mainly focused on publications available  in press  in English 

language, thus, the possibility of similar studies available  in other  languages cannot be excluded. 

This  partially  may  explain  the  fact  of  no  identified  studies  in  developing  countries  of  post‐Soviet 

space (though some attempts have been made). Meanwhile, an assumption should be admitted that 

the studies on this topic are least researched or least published for post‐Soviet countries, which is 

potentially due to unpopularity of community‐management model in rural water governance.  

(ii) The opinions of the practitioners on rural drinking water supply projects are limited only 

to a small group of people (46 survey respondents) and one case study country (Tajikistan) due to 

practical considerations of this research (availability of time and money). Thus, the opinions of the 

practitioners involved in rural drinking water supply in other developing countries will contribute to 

the discussion with novel arguments, and thus it suggests that further attempts must be made to 

collect such  information. Furthermore, while the presented results of the survey represent  just a 

snapshot  from  the  case  study  country,  it  does  not  present  universal  opinions  and  thus  further 

research is necessary. 

(iii) Finally, longitudinal field studies that would attempt to investigate in‐depth impacts of 

women’s  and  men’s  participation  as  heterogeneous  groups  of  communities,  evaluating  power 

relations within communities and aspects of agency, will provide a more comprehensive analysis and 

deeper insights to the discussion in the domain of sustainable drinking water supply projects. 

  103

 

6.5  Conclusions and Recommendations 

This  study  has  attempted  to  answer  the  key  research  question  ‐  Does  women’s  participation  in 

donor‐funded  drinking  water  supply  projects  in  developing  countries  contribute  to  project 

sustainability?  While,  the  findings  of  this  study  provide  evidence  that  the  response  to  the  key 

research question is positive and participation of women in drinking water projects does contribute 

to project success, they also suggest that the  involvement of both male and female members of 

community is imperative for the implementation of community‐managed projects.  

This study concludes that the considerations of community involvement should not be based 

on  the  ‘reductionist’  approach,  limiting  understanding  of  project  sustainability  problem  only  to 

gendered phenomenon, but instead both women and men should be provided equal opportunities, 

resources and mechanisms to participate  in such projects. Furthermore,  it concludes that neither 

women nor men should be viewed as homogeneous groups, and thus social, economic and cultural 

heterogeneity and the differentiations in exercising power and agency within a community should 

be taken into consideration. 

  Furthermore, this study suggests that while the involvement of community members should 

not be exclusive only to male or  female community members, there  are certain types of  project 

activities, where involvement of men or women respectively is seen as more valuable. In particular, 

involvement of women  during  and  after project  implementation  is  seen  as  more effective at the 

stages of (i) organization of community awareness campaigns and (ii) collection of fees for repair and 

maintenance.  

  Based on the findings of this study and the conclusions reached, the following three practical 

recommendations  are  suggested  for  the  consideration  to  stakeholders  involved  in  the 

implementation  of  community‐managed  projects  in  developing  countries.  First,  community 

participation  is  imperative  and  active  involvement  of  local  community  members  in  all  stages  of 

project  implementation  (planning,  construction  and  maintenance)  should  be  viewed  as  a 

  104

prerequisite  for  successful  implementation  of  community‐managed  rural  drinking  water  supply 

projects. Second, opportunities for participation in project activities should be provided equally to 

both men and women, however involvement of those members of local communities who exercise 

sufficient agency or power to act in managing drinking water projects can prove to contribute more 

significantly to project sustainability. Finally, specific project activities, such as collection of fees and 

community awareness campaigns, can be more performed more productively with the involvement 

of female community members.  Community members should be provided with greater and more 

prolonged  training  opportunities  to  increase  their  potential  for  community‐management  in  rural 

water supply. Thus, for example, while women could improve their skills on financial management 

for  system  maintenance,  male  community  members  could  continuously  improve  their  skills  for 

system  repair.  This  can  be  organized  through  the  establishment  of  community  training  centers, 

which could provide training and certification services on a long‐term basis.  

   

  105

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Appendices 

Annex A. Matrix of Research Methods 

Research  Question:  Does  women’s  participation  in  donor‐funded  drinking  water  supply  projects  in  developing  countries  contribute  to  the  project 
sustainability? 
Research sub‐questions: (i) What can be generalized on the impact of women’s participation to the project success? (ii) Which forms and components 
of women’s participation are positively (or negatively) associated with project sustainability? (iii) Do practitioners on rural drinking water supply believe 
that women’s participation positively contributes to project sustainability? 
 

Objective: 
To provide comprehensive  literature review of 
available knowledge on the role and impacts of 
women’s  participation  in  rural  drinking  water 
supply projects in developing countries. 
 

Methods and Sources: 
‐  Literature  review  of  peer‐
reviewed scholarly articles 

Analysis: 
‐ Meta‐analysis of literature review 

‐  Tabulation  of  survey  results  and 
qualitative  (and  quantitative) 
analysis to  identify patterns  in the 
data 

Time/Site: 
Jun’13‐Mar’14 (Syracuse) 
Mar’13‐Apr’14 (Syracuse) 
 

Sub‐objective 1: 
To  understand  the  key  (positive/negative) 
impacts  of  women’s  participation  in  drinking 
water  supply  project 
design/implementation/maintenance 

Methods and Sources:
‐  Literature  review  of  peer‐
reviewed scholarly articles 

Analysis: 
‐ Meta‐analysis of literature review 

Site/Time:
Same as above 

Sub‐objective 2: 
To  segregate  major  forms  of  women’s 
participation into positive or negative impacts 

Methods and Sources: 
‐  Literature  review  of  peer‐
reviewed scholarly articles 
‐  Online  Surveys  with  participants 
from  case  study  country 
(Tajikistan) 

Analysis: 
‐ Meta‐analysis of literature review 
‐  Tabulation  of  survey  results  and 
qualitative (/quantitative) analysis 

Site/Time: 
Same as above 

Sub‐objective 3: 
To understand the contemporary perception of 
women’s  participation  strategies  as  a 
contributing factor to project success or failure 

Methods and Sources: 
‐ Online Surveys 

Analysis: 
‐ Meta‐analysis of literature review 
‐ Tabulation of survey results  

Site/Time: 
Same as above 
 

114

Annex B. Relationship between research questions, methods and hypothesis 

 
Main research question: 
Does women’s participation in donor‐
funded drinking water supply projects in 
developing countries contribute to project 
sustainability?

Research sub‐question 1:  

What  can  be  generalized  on  the  impact  of 

women’s  participation  to  the  project 

success? 

Research sub‐question 2:  

Which  forms  and  components  of  women’s 
participation  are  positively  (or  negatively) 
associated with project sustainability?  

Research sub‐question 3: 
Do practitioners on rural drinking water 
supply believe that women’s participation 
positively contributes to project 
sustainability?

Sub‐hypotheses 1: 

Participation of women positively contributes to the 

project  success,  however  this  depends  on  women’s 

agency and power 

Sub‐hypotheses 2: 

Women’s  participation  in  the  post‐project 

construction  phase  (maintenance)  has  stronger 

association  with  project  sustainability  than  other 

forms of women’s participation 

Sub‐hypotheses 3: 

Practitioners believe that women’s participation 
positively contributes to project sustainability, but 
their opinions vary with respondents’ gender

Main hypotheses: 

Participation of women positively contributes to the 
project sustainability

Method 1: Meta‐
analysis of existing 

studies

Method 2: Surveys 
among practitioners 

  115

Annex C. Format of Literature Summary Matrix 

#  Year  Author  Geogra
phical 
focus 

Title of 
publication 

Title of the 
journal 

Focuse
s on 
rural 
popula
tion 

Assesses 
Project 
Sustainab
ility/effec
tiveness 

Assesses 
drinking 
water 
projects 

discusses 
women’s 
participat
ion 

Research 
Question/ 
Objective(s) 

Project 
Description 

Methods Results Conclusion

1  2007  Acharya 
S., 
Yoshino 
E., Jimba 
M., 
Wakai S 

Nepal  Empowerin
g rural 
women 
through a 
community 
developme
nt 
approach in 
Nepal 

Community 
Developme
nt Journal 
Vol 42 No 1 
(pp 34‐46) 

Yes Yes No Yes Investigates 
how community 
development 
programs can 
empower rural 
women in 
developing 
countries. 
Assesses the 
impact of 
community 
development 
program 
(School and 
Community 
Health Project 
funded by JICA) 
in a remote hill 
district of 
Nepal, focusing 
on two 
programs: 1) 
literature and 2) 
credit and 
group savings. 
Raises the 
question of how 
effective the 
community 
development 
activities are in 
meeting project 
objectives. 

Started in 1992 
to improve 
overall living 
conditions of 
the people 
through health, 
economic, and 
educational 
improvements. 
The project 
targeted 
women due to 
high urban‐rural 
male migration 

Qualitative 
and 
quantitative 
data analysis: 
participatory 
approaches 
(focus and 
general group 
discussions), 
time‐lines, 
ethno‐
history, in‐
depth 
interview, 
case studies) 
and 
household 
surveys. 
Quantitative: 
a longitudinal 
evaluation to 
assess the 
impact of the 
project 
(compared to 
benchmark 
data). 

Functional literacy 
program is a good 
start, which has 
revealed its 
dynamism with 
practical 
extensions in a 
post‐literacy 
period; Group 
savings and credit 
programs provide 
the driving force 
to help illiterate 
rural women start 
small‐scale 
economic 
activities that are 
effective in 
absorbing the 
female workforce 
in these 
communities 
(p.34).  
Literacy program 
increased the 
female literacy 
rate and 
significantly 
reduced gender 
gap in literacy 
(p.43). 

Found that 
homogeneity in 
group formation 
could be a crucial 
factor in the 
success of many 
community‐based 
organizations, 
whereas 
heterogeneity 
could jeopardize 
the success of the 
program as was 
exemplified in the 
bitter experience 
of mixing married 
women and 
unmarried 
women in the 
common savings 
groups in three 
communities 
(p.44). 
If community 
development 
programs lack 
dynamism, but 
merely provide 
financial support, 
program efforts 
may weaken 
disadvantaged 
people by 
increasing their 
dependency on 
the programs 
rather … 

116

Annex D. TajWSS agency membership list 

Network of Stakeholder Organizations on Sustainable Water Supply and Sanitation 
 
                       

#  Name of member organization
 

1  Presidential Apparatus, Government of Tajikistan (GoT)
2  Ministry of Land Reclamation (Melioration) and Water Resources (MoLRWR) of the RT 
3  TajikSelkhozVodoprovodStroy (Tojik Ob Dehot) – subordinate agency of MoLRWR 
4  Committee on Environmental Protection of GoT 
5  Main Department on Geology of GoT
6  Main Department for Supervision over Safety in Industry and Mining of GoT 
7  Ministry of Health of the RT_SES Department 
8  Ministry of Economic Development and Trade (MoEDT) 
9  State Agency for Construction and Architecture of the GoT (SACA)
10  Agency for standardization, metrology, certification and trade inspection of the GoT 

(Tajikstandart) 
11  State Unitary Enterprise “Khojagii Manziliyu Kommunali” of GoT (Housing Services) 
12  Ministry of Finance of the RT
13  Ministry of Justice of the RT 
14  Ministry of Agriculture of the RT 
15  Academy of Sciences of the RT 
16  “Educational & training center on reform of housing & utilities services” of State Unitary 

Enterprise “Khojagii Manziliyu Kommunali” of GoT 
17  Dept of population & territories defense of the Committee of emergency situations & 

civil defense of the RT 
18  Ministry of Foreign Affairs 
19 
20 

Institute of Professional Retraining of Government Officials
Tajik Technical University 

21  Majlisi Millii / Majlisi Namoyandagon (Parliament)   
22  Khukumat of Rudaki District 
23  Khukumat of Muminabad District
24  Plast Service, Pipe supply, mounting and construction, Trainings and workshops 
25  Tajikistan Association of Contractors  
26  Dev‐net‐consult 
27  Yovoun  Electrochemical Plant
28  Republican Youth Public Organization 

“The younger generation of Tajikistan” 
29  Consumers Union of RT 
30  Drinking Water Federation, Muminabad

   

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Annex E. Survey Tool in English and Russian 

Survey Questionnaire 
Women’s Participation in Rural Drinking Water Supply Projects in Tajikistan 

This research aims at defining if participation of women in donor‐funded community‐managed rural drinking 
water supply projects in Tajikistan has any impacts to the project success and sustainability. Your participation 
in this survey is very important and answers provided to the questions listed below will help to respond the 
research question. 
Please answer the questions simply by clicking on the right box and leaving comments in the shaded area. You 
can fill out form manually by printing out and sending back the scanned version to the provided e‐mail address. 
  

Before you start the survey, please confirm your consent to participate in the survey               Yes             No 

      

 

 

GENERAL INFORMATION 

1.1 First name (only):                

1.2 Gender:                         Male               Female               

1.3 Age:                                       

1.4 Type of professional occupation:                       

                                               Project manager/team leader                              Monitoring/evaluation 

                                               Engineer/ technical worker                                   Community mobilizer 

                                              Trainer/educator                                                     Other, specify              

  

1.5 Type of Agency you presently work for: 
                                                International or local donor agency                    Governmental agency  

                                                International or local non‐governmental            Community‐based organization 

                                                Consulting or research institution                       Educational institution or university 

                                                Private sector                                                           Other, specify            

 

1.6 How many years of experience have you had in drinking water projects:  
                0 (no experience)           0‐5 years           6‐10 years          11‐20 years         21‐30 years        >30 years 

 
1.7 Did you have any international experience in implementing drinking water supply projects?  
                   Yes                    No              
  

Comments (number of years, duty station, etc):            
 
 
 

For the purpose of this study a project is defined as a donor‐funded and community‐managed rural drinking water supply 
project  that  include:  (i)  any  type  of  small‐  to  medium‐scale  water  schemes,  (ii)  constructed  in  rural  area,  (iii)  with  the 
financial (and technical) support from donor agencies, (iv) operated and maintained by members of  local community, (v) 
used predominantly for drinking or as a primary source of drinking water within the community. 
In practice, such projects can be (i) piped systems with treated surface water (from river, lake, etc), (ii) piped systems with 
subsurface water (boreholes with electric pumps), (iii) handpumps, (iv) rainwater harvesting schemes, (v) spring catchment 
projects, or any combination of these schemes with other possible variations of drinking water supply projects. 
Project  sustainability  is  defined  as  effective  and  uninterrupted  functionality  of  a  project  within  the  entire  designed 
timeframe.  

 

  118

PROJECT SUSTAINABILITY 
 
2.1 For a project to be sustainable how long should it operate once constructed? 
             0‐10 years              11‐20 years              21‐30 years       >30 years         for the entire designed lifespan  
 
Comments:            
 
 
 
 
 
 
 

 
COMMUNITY INVOLVEMENT 
 
3.1 For a project to be sustainable, how important is community involvement? 
   

           Very important        Important              Neither important nor unimportant           Unimportant      Very unimportant 

 
3.2 Please rate the relevance of the following factors to the success and sustainability of the project. Rate from 1 to 5, 
when 1=most relevant and 5=least relevant. Please leave blank if you believe that any of the suggested is irrelevant; 
provide comments where necessary. 
 

  Rating Comments

a. Enough spare time of community members 
to maintain the project 
  
 

      

b. Enough money of community members to 
maintain the project 
 

     

c. Gender of community members who 
maintain the project 
  

      

d. Age of community members who maintain 
the project 
  

      

e. Physical health of community members who 
maintain the project 
  

      

f. Technical and institutional support of local 
authorities to the community 
  

      

g. Post‐construction donor support and 
monitoring 
  

     

h. Training and knowledge of community 
members to maintain 
  
 

      

i. Formal education (school and/or university)
  
 

     
 

j. Other, specify             
 
 
 
 
 

      

  119

3.3  For a project to be sustainable how important is participation community members (male and female) in activities 
during the construction of the project (participation in decision‐making, contribution with labour or money for 
construction, etc)?  
  Very 

important 
Important  Neither important 

nor unimportant 
Unimportant  Very 

unimportant 

Men 
 

   

Women 
 

   

 
3.4  For a project to be sustainable, how important is the participation of community members (male and female) in the 
project operation and maintenance, once the project is constructed?  
  Very 

important 
Important Neither important 

nor unimportant 
Unimportant Very 

unimportant 
Men 
 
   
Women 
 
   

 
3.5 Please leave any comments related to the questions 3.1‐3.4 here:            
 
 
 
 

 
GENDER DIFFERENCES 
4.1 For a project to be sustainable, please rate the importance of involving male community members in the following 
activities. You may select up to three as “very important”; select “neither important nor unimportant” if you think it is not 
applicable in this context. 
 
 

Very 
important 

Important Neither 
important 

nor 
unimportant 

Unimportant  Very 
unimportant 

a. Project planning and design 
 
 

 

b. Community mobilization for construction
 

 
 

c. Education and awareness campaigns before 
and during construction 

 
 

d. Collection of fees from community members 
for maintenance and repair 

 
 

e. Organization of repairs or mobilization of 
community members for repair 

 
 

f. Regular monitoring and data collection
 

 

 

g. Other, specify            
 
 

 
 
 
 
 
 

  120

4.2 Please rate the importance of the following variables of men for the sustainability of the project. Please select “neither 
important nor unimportant”, if you think it is not applicable in this context or does not have any difference to the project 
sustainability. 
 
  Very 

important 
Important Neither 

important nor 
unimportant 

Unimportant Very 
unimporta

nt 

a. Age  
 

 

b. Marital status 
 

 

c. Physical health 
 

 

d. Religion 
 

 

e. Employment status 
 

 

f. Reputation/ trust of community
 

 

g. Knowledge/ skills 
 

 

h. Other, specify            
 
 

 
 
 

 
 

 
4.3 For a project to be sustainable, please rate the importance of involving female community members in the following 
activities. You may select up to three as “very important”; select “neither important nor unimportant” if you think it is not 
applicable in this context . 
 

 
 
 
Very 
important 

Important Neither 
important nor 
unimportant 

Unimportant Very 
unimportant 

a. Project planning and design 
 
 
 
b. Community mobilization for construction
 
 
 
c. Education and awareness campaigns before 
and during construction 
 
 
d. Collection of fees from community members 
for maintenance and repair 
 
 
e. Organization of repairs or mobilization of 
community members for repair 
 
 
f. Regular monitoring and data collection
 
 
 
 

g.    Other, specify            
 
 
 
 
 

 
 
 
 

  121

4.4 Please rate the following variables of women as important/unimportant for the project sustainability. Please select 
“neither important nor unimportant”, if you think it is not applicable in this context or does not have any difference to the 
project sustainability. 
  Very 

important 
Important Neither 

important 
nor 

unimportant 
Unimportant  Very 
unimportant 
a. Age  
 
 
b. Marital status 
 
 
c. Physical health 
 
 
d. Religion 
 
 
e. Employment status 
 
 
f. Reputation/ trust of community
 
 
g. Knowledge/ skills 
 
 
h. Other, specify            
 
 
 

 
4.5 Please leave any comments related to the questions 4.1‐4.4 here:            
 
 

 
WOMEN’S PARTICIPATION 
5.1 Women in Tajikistan presently have equal rights (to male community members) to participate in the implementation 
and maintenance of community‐managed drinking water projects 
                                            Agree                           Disagree               Don’t know  
 
                        
5.2 It is important for the sustainability of the project that women have equal rights (to male community members) to 
participate in the project implementation and maintenance 
                                            Agree                           Disagree               Don’t know  
 

 
5.3 Women are given more opportunities (by donors, implementing agencies and/or local authorities) to 

participate in the 

project implementation and maintenance (e.g. because they believe that it positively effects success and 

sustainability of 

the project) 

      
                                            Agree                           Disagree               Don’t know  
 
 
5.4 Participation of women during the project construction does not contribute to the project success and sustainability 

      
                                            Agree                           Disagree               Don’t know  
 
  
5.5 Participation of women in the project operation and maintenance (post‐construction phase) does not 

contribute to the 

project success and sustainability 
                                            Agree                           Disagree               Don’t know  
 
 
5.6 Women are capable of implementing the role of project operation and maintenance effectively 
 
                                            Agree                           Disagree               Don’t know  

  122

 
 
5.7 Women’s participation in the project is very symbolic and does not have any positive effects on the project success and 
sustainability  
                                            Agree                           Disagree               Don’t know  
 
 
5.8 Please leave any comments related to the questions 5.1‐5.7 here:            
 
 
 
 
 

OTHER 
 
6.1 If you responded to question 5.3 as “agree” and think that women are given more opportunities to manage the 
project, please rate from 1‐5 the below reasons, where 1=most relevant and 5=least relevant. Please leave blank if you 
believe that any of the suggested is irrelevant; provide comments where necessary. 
 
  Rate Comments

a. Strong encouragement of 
implementing/ donor agencies 
  
 

    

b. Strong encouragement of local 
authorities 
  
 

    

c. Community prefer to see women 
operating the project 
  
 

    

d. Lack of male members of community 
(e.g. labour migration) 
  
 

    

e. Other, specify            
 
 
 
 

    
 

 
7. Please leave any other general comments with regard to this questionnaire:             
 
 
 
 

 
Thank you for your participation! Please return the completed questionnaire to Nargis Artyushevskaya at 

nartyush@syr.edu 

   

  123

Вопросник 
Об участии женщин (представителей местного населения) в Проектах Сельского 

Питьевого Водоснабжения в Таджикистане  
Данное  исследование  направлено  на  выявление  важности  участия  женщин‐представителей  местных 
общин  в  устойчивости  проектов  сельского  питьевого  водоснабжения,  финансируемых  донорами  в 
Таджикистане. Ваше участие в данном опросе является очень важным и любая предоставленная Вами 
информация будет принята во внимание при проведении анализа данных. 
Пожалуйста  ответьте  на  нижеследующие  вопросы  просто  кликнув  на  нужный  затемненный 
квадрат и оставив комментарий в затемненной строке. Вы также можете заполнить вопросник в 
ручную.  Для  этого  распечатайте,  заполните  форму  и  отправьте  отсканированный  вариант  на 
указанный адрес электронной почты. 

 
Согласны ли Вы участвовать в данном опросе?                                          Да                                 Нет 

      
 

 
 

ИНФОРМАЦИЯ ОБ УЧАСТНИКЕ 

1.2 Имя (без фамилии):              

1.6 Ваш пол:                          Мужской              Женский            

1.7 Возраст:                                   

1.8 Род профессиональной деятельности:                       

                                         Менеджер проекта/руководитель                  Специалист по мониторингу и оценке 

                                         Инженер/ технический работник                    Мобилизатор общин 

                                         Тренер по обучающим семинарам            Другое (уточните):             

  

1.9 Тип организации, в которой Вы работаете: 
               Донорская организация (международная или местная)                           Государственное учреждение 

               Неправительственная организация (международная или местная)       Общественная организация  

               Консалтинговое или исследовательское агентство                                     Университет или учебное  

               Частный сектор                                                                                                      Другое (уточните):            

 

1.6 Сколько лет опыта работы с проектами по питьевому водоснабжению Вы имеете?  
               0 (нет опыта)              1‐5 лет                 6‐10 лет            11‐20 лет       21‐30 лет     более 30 лет 

 
 

Система питьевого водоснабжения, созданная при поддержке донорских организаций и переданная на 
содержание  представителям  местного  населения  (представителям  общины),  в  данном  вопроснике 
именуется  «проект».    Данный  проект  представляет  собой  следующее:  (i)  любую  систему  питьевого 
водоснабжения средних и малых масштабов, (ii) построенную в сельской местности, (iii) при финансовой 
(и  технической)  поддержке  со  стороны  донорских  организаций,  (iv)  находящуюся  в  управлении  и  на 
содержании  у  местного  населения,  (v)  используемую  преимущественно  в  целях  обеспечения 
потребностей местного населения в питьевой воде. 
На практике такими проектами могут быть (i) водопроводная система с механизмами обеззараживания 
воды  из  поверхностных  источников  (река,  озеро  и  др),  (ii)  водопроводная  система  с  механизмами 
обеззараживания воды из подземных источников (напр., скважина с электро‐ насосом), (iii) ручной насос 
(водокачка),  (iv)  система  сбора  дождевой  воды,  (v)  родниковая  (каптажная)  система,  или  любая 
возможная комбинация из вышеперечисленного. 
Устойчивость проекта значит эффективная и безостановочная работа системы водоснабжения в течении 

  124

1.7 Был ли у Вас опыт работы по проектам питьевого водоснабжения в других странах?  
      Да                        Нет             
  

Комментарии (количество лет, страна и т.д.):            
 
 
 

УСТОЙЧИВОСТЬ ПРОЕКТА 
2.1 Сколько лет должна функционировать система водоснабжения для того, чтобы называться устойчивой 
     0‐10 лет              11‐20  лет             21‐30 лет      более 30 лет        
     в течении всего срока эксплуатации, запланированного при проектировании 
 
Комментарии:            
 
 

УЧАСТИЕ ОБЩИН 
 
3.1 Важно ли участие общин (представителей местного населения) для обеспечения устойчивости проекта? 
   

           Очень важно        Важно                 Не имеет отношения                Не важно           Совсем не 

важно 

 
3.2 Пожалуйста определите степень важности перечисленных факторов для обеспечения устойчивости 
проекта. Оцените от 1 до 5, где  1 = «очень важно» и 5 = «наименее важно» (нажмите на серое поле в строке 
«оценка» и выберите соответствующую оценку). Оставьте поле пустым, если Вы считаете что‐то из 
перечисленного не имеет никакого отношения в данном контексте; прокомментируйте в строке 
комментарии. 
 

  Оценка Комментарии

a. Наличие достаточного времени у местного 
населения для содержания проекта 
  

    

b. Наличие достаточных финансовых средств 
у местного населения для содержания 
проекта 

      

c. Половые различия представителей 
общины, непосредственно отвечающих за 
содержание системы 

      

d. Возраст представителей общины, 
непосредственно отвечающих за содержание 
системы  

      

e. Состояние здоровье представителей 
общины, непосредственно отвечающих за 
содержание проекта  

     

f. Техническая и/или учредительная 
поддержка со стороны местных властей 

      

g. Помощь со стороны донорских 
организаций после окончания проекта 
(завершения строительства) 

      

h. Знания и навыки представителей общины, 
непосредственно отвечающих за содержание 
системы 

      

i. Наличие среднего (и/или высшего) 
образования среди представителей общины, 
непосредственно отвечающих за содержание 
системы 

      
 

j. Другое (уточните):            
 
 

     

  125

 
3.3 Насколько важно участие местного населения (мужского и женского) в процессе строительства системы 
водоснабжения для обеспечения устойчивости проекта (напр., участие в принятии решений, вклада деньгами 
или трудом, и т.д.)?  

 

Очень 
важно 

Важно    Не имеет 
отношения    

Не важно        Совсем не 
важно 

Мужчины 
 

 

Женщины 
 

 

 
3.4  Насколько важно участие местного населения (мужского и женского) в содержании системы 
водоснабжения после завершения строительства для обеспечения устойчивости проекта? 

  Очень 
важно 

Важно   Не имеет 
отношения    

Не важно        Совсем не 
важно 
Мужчины 
 
 
Женщины 
 
 

 
3.5 Оставьте любые комментарии относительно вопросов 3.1‐3.4 здесь:            
 
 

 
ГЕНДЕРНЫЕ РАЗЛИЧИЯ 
4.1 Определите степень важности участия мужчин‐представителей местного населения в перечисленных 
видах проектной деятельности. Вы можете отметить не более трех перечисленных видов деятельности 
как «очень важно»; выберите «не имеет отношения», если Вы считаете, что что‐либо из перечисленного 
является неуместным в данном контексте. 
 
 
 

Очень 
важно 

Важно   Не имеет 
отношения         

Не важно        Совсем не
важно 

h. Планирование проекта  
 
 

 

i. Мобилизация общин для 
участия в строительстве 
системы 

 
 

j. Проведение обучения 
местного населения до и во 
время строительства  
 

 
 

k. Сбор средств с местного 
населения для содержания и 
ремонта системы 

 
 

l. Организация ремонта или 
мобилизация общины для 
проведения ремонта 

 
 

m. Проведения мониторинга и 
сбор данных 
 
 

 

n. Другое (уточните):            
 

 

  126

 
 

 
4.2 Определите, насколько следующие критерии мужчин‐представителей местного населения, 
непосредственно участвующих в содержании системы, важны для устойчивости проекта. Пожалуйста, 
выберите «не имеет отношения», если Вы считаете, что что‐то из перечисленного не влияет на 
исход/устойчивость проекта. 
 
  Очень 

важно 
Важно    Не имеет 

отношения    
Не важно        Совсем не 

важно 

i. Возраст
 

 

j. Семейное положение 
 

 

k. Состояние здоровья 
 

 

l. Религия и 
вероисповедание 

 
 

m. Трудовая деятельность
 

 

n. Репутация/ доверие 
местного населения 

 

o. Знания и навыки  
 

 

o. Другое (уточните): 
           

 
 
 

 
4.3 Определите степень важности участия женщин‐представителей местного населения в перечисленных 
видах проектной деятельности. Вы можете отметить не более трех перечисленных видов деятельности 
как «очень важно»; выберите «не имеет отношения», если Вы считаете, что что‐либо из перечисленного 
является неуместным в данном контексте. 
 
 

Очень 
важно 
Важно    Не имеет 
отношения    
Не важно        Совсем не 
важно 

a.    Планирование проекта и 
составление дизайна системы 
 
 

 

b.  Мобилизация общин для участия в 
строительстве системы 
 

 
 

c.    Проведение обучения местного 
населения до и во время 
строительства 
 

 
 

d.    Сбор средств с местного 
населения для содержания и 
ремонта системы 

 
 

e.    Организация ремонта или 
мобилизация общины для 
проведения ремонта 

 
 

f.     Проведения мониторинга и сбор 
данных 

 
 
 

  127

g.     Другое (уточните):            
 
 

 
 

 
4.4 Определите, насколько следующие критерии женщин‐представителей местного населения, 
непосредственно участвующих в содержании системы, важны для устойчивости проекта. Пожалуйста, 
выберите «не имеет отношения», если Вы считаете, что что‐то из перечисленного не влияет на 
исход/устойчивость проекта. 
 
  Очень 

важно 
Важно    Не имеет 
отношения    
Не важно        Совсем не 
важно 

a. Возраст 
 

 

b. Семейное положение 
 

 

c. Состояние здоровья 
 

 

d. Религия и 
вероисповедание 

 
 

e. Трудовая деятельность
 

 

f. Репутация/ доверие 
местного населения 

 

g. Знания и навыки  
 

 

h. Другое (уточните): 
           

 
 
 
 

 
4.5 Оставьте любые комментарии относительно вопросов 4.1‐4.4 здесь:            
 
 
 

УЧАСТИЕ ЖЕНЩИН 
5.1 В Таджикистане женщины – представители местного населения имеют возможности участвовать в 
процессах выполнения проекта и содержания системы после ее строительства наравне с мужской частью 
населения  
                             Согласен (‐на)                            Не согласен (‐на)               Не знаю 
 
                        
5.2 Женщины должны иметь одинаковые возможности наравне с мужчинами участвовать в выполнении 
проекта и содержании системы, что является необходимым для устойчивости проекта 
                             Согласен (‐на)                            Не согласен (‐на)               Не знаю 
 

 
5.3 Женщинам ‐ представителям местного населения предоставляется больше возможностей (со стороны 
донорских и исполняющих организаций и/или местных властей) для участия в осуществлении и содержании 
проектов из‐за убеждения, что это положительно влияет на успех и устойчивость проекта  
                             Согласен (‐на)                            Не согласен (‐на)               Не знаю 
 
 
5.4 Участие женщин ‐ представителей местного населения во время строительства проекта не способствует 
успешному выполнению или устойчивости проекта 
                             Согласен (‐на)                            Не согласен (‐на)               Не знаю 
 

  128

  
5.5 Участие женщин ‐ представителей местного населения в процессе содержании системы (после завершения 
строительства) не способствует успешному выполнению или устойчивости проекта 
                             Согласен (‐на)                            Не согласен (‐на)               Не знаю 
 
 
5.6 Женщины ‐ представители местного населения способны эффективно исполнять роль ответственных за 
работу и содержание системы в общинах 
                             Согласен (‐на)                            Не согласен (‐на)               Не знаю 
  
 
 
5.7 Участие женщин ‐ представителей местного населения в проектах питьевого водоснабжения является 
только символическим и не оказывает никакого положительного влияния на успех и устойчивость проекта  
                             Согласен (‐на)                            Не согласен (‐на)               Не знаю 
 
5.8 Оставьте любые комментарии относительно вопросов 5.1‐5.7 здесь:            
 
 

ДРУГОЕ 
6.1 Если Вы ответили на вышеупомянутое утверждение 5.3 как «согласны» и считаете, что женщинам 
(представителям местного населения) предоставляется больше возможностей  участвовать в содержании 
системы, оцените следующие возможные причины этого  по шкале от 1 до 5, где 1 = «имеет большое 
отношение» и 5 = «имеет наименьшее отношение».  
Оставьте пустым какие‐либо из перечисленных причин, если считаете что они совершенно неуместны в 
данной ситуации; прокомментируйте в строке комментарии. 
 
  Оценка Комментарии

a. Сильное поощрение со стороны 
исполнительных и/или донорских 
организаций 
  
 

    

b. Сильное поощрение со стороны 
местных властей  
  
 

    

c. Общины предпочитают видеть 
женщин (представителей местного 
населения) ответственными за 
содержание системы  
 

    

d. Отсутствие/нехватка мужской части 
населения (например, в связи с 
трудовой миграцией) 
  
 

    

e. Другое (уточните):            
 
 

    
 

 
7. Оставьте любые комментарии относительно вопросника здесь:            
 
 

 

Спасибо большое за Ваше участие! Пожалуйста, вышлите заполненный вопросник 
на адрес электронной почты Наргис Артушевской nartyush@syr.edu 

 

  129

Annex F. Informed Consent forms in English and Russian 

INFORMED CONSENT FORM 
 

SURVEY ON UNDERSTANDING PERSCEPTIONS OF STAKEHOLDERS  
on the role of women in sustainability of constructed drinking water projects in Tajikistan 

 

The purpose of this form is to provide a clear explanation of the nature of this research. If you are 
entirely satisfied with this explanation and freely choose to participate in the study, please complete 
the attached survey questionnaire. If you have any concerns or questions please direct them to the 
Student Researcher at the contact details provided below. 

This study is a research project on the “Role of Women in Sustainability of Donor‐funded Drinking 
Water  Supply  Projects  in  Developing  Countries:  Case  Study  of  Tajikistan”,  undertaken  by  Nargis 
Artyushevskaya, in partial fulfillment of the requirements of MS Program in Environmental Studies, 
College of Environmental Science and Forestry, State University of New York (SUNY ESF).  
The research aims at providing a comprehensive analysis on the possible impacts of different forms 
of  women’s  involvement  and  participation  in  rural  drinking  water  supply  project  activities  to  the 
project effectiveness and success/ sustainability. The researcher plans to analyze the available base 
of literature on the topic, as well as collect the opinions of experts, involved directly or indirectly in 
financing, implementation and monitoring of drinking water supply projects in rural Tajikistan. 

The participation in this survey is voluntary and you may decide to withdraw from the participation 
at the survey at any moment without penalty. If you decide to participate in the survey you have a 
right to leave your name anonymous. The estimated time answering the survey questions is 10‐15 
minutes.  The  information  collected  via  this  survey  will  be  kept  confidential  and  the  identity  of 
individual responses will not be revealed in the best of investigator ability, unless stated otherwise 
by the Participant.   

I have received a copy of this consent form and I understand the nature of the research project. I 
declare that I am 18 years of age or older and I voluntarily agree to take part in the survey without 
expecting any compensation.  

_____________________________________        _______________ 
Signature                  Date 
 
___________________________________________________________________________ 
Name, position, organization (please leave anonymous, if decided)  
 
Nargis Artyushevskaya          Dr. Richard Smardon 
Student Researcher          Principle Investigator 
MS Candidate, Environmental Studies      Professor, Environmental Studies  
SUNY ESF            SUNY ESF 
nartyush@syr.edu          rsmardon@esf.edu  
(1) 315‐600‐0081          (1) 315‐470‐6576 
   

  130

ОФИЦИАЛЬНОЕ СОГЛАСИЕ 
НА УЧАСТИЕ В ОПРОСЕ  

О роли женщин в устойчивости проектов по питьевому водоснабжению в развивающихся 
странах 

Данный документ предоставляет краткую информацию о данном исследовании. В случае, если 
Вы  удовлетворены  данной  информацией  и  готовы  принять  участие  в  данном  опросе,  Вам 
необходимо подписать данный документ (ниже), свидетельствующий о Вашем согласии. Если 
у  Вас  есть  какие‐либо  вопросы  или  комментарии,  пожалуйста  направьте  их  на  адрес 
электронной почты Научного Работника, указанный ниже. 

Данное  исследование  на  тему  «Роль  Женщин  в  Устойчивости  Проектов  Питьевого 
Водоснабжения  в  Развивающихся  Странах:  Пример  Таджикистана»,  проводится  Наргис 
Артушевской,  в  рамках  учебной  программы  Степени  Магистра  по  Окружающей  Среде, 
Колледж  Наук  по  Окружающей  Среде  и  Лесоводства,  Государственного  Университета  штата 
Нью‐Йорк.  

Исследование направлено на проведение подробного анализа о возможном влиянии участия 
женщин  (представителей  общин)  в  проектах  питьевого  водоснабжения  на  успешное 
выполнение  и  устойчивость  проекта.  Планируется,  что  данное  исследование  предоставит 
полный анализ существующей литературы на данную тему, а также соберет мнения экспертов, 
принимающих  непосредственное  или  косвенное  участие  в  финансировании,  реализации  и 
мониторинге проектов питьевого водоснабжения в сельской местности Таджикистана. 
 
Ваше  участие  в  данном  опросе  основано  полностью  на  добровольной  и  конфиденциальной 
основе, и Вы можете прекратить участие в любой момент без каких‐либо штрафных санкций. 
Если Вы примете решение участвовать, у Вас есть право не указывать Ваше имя. Заполнение 
вопросника займет 10‐15 минут. Информация, собранная путем проведения данного опроса, 
является  конфиденциальной  и  любая  идентификационная  информация  Участника  не  будет 
разглашена, за исключением случаев, когда сам Участник пожелает обратное.   
 
Я  получил  (сохранил)  копию  данного  документа  и  понимаю  цели  данного  исследования. 
Данным я подтверждаю, что мне 18 или более лет и я выражаю согласие принять участие в 
данном опросе, не ожидая взамен какого‐либо вознаграждения.  
_____________________________________        _______________ 
Подпись                  Дата 
___________________________________________________________________________ 
Имя, должность, организация (не указывайте, в случае если желаете оставаться анонимным) 
 
Наргис Артушевская          Профессор Ричард Смардон 
Студент – Научный Работник        Эксперт 
Кандидат Наук по Окружающей Среде    Профессор, Отдел Окружающей Среды 
Колледж Наук по Окружающей Среде     Колледж Наук по Окружающей Среде  
и Лесоводства,           и Лесоводства, 
Гос. Университета штата Нью‐Йорк      Гос. Университета штата Нью‐Йорк 
nartyush@syr.edu          rsmardon@esf.edu  
(1) 315‐600‐0081          (1) 315‐470‐657 
   

  131

Annex G. Survey Recruitment Scripts in English and Russian 

Recruitment script 

Letter to the Survey Participants from TAJWSS (Partnering Agency) 
 
Dear TAJWSS Partners, 
You  are  kindly  invited  to  participate  in  the  survey  for  the  research  on  the  “Role  of  Women  in 
Sustainability of Donor‐funded Drinking Water Supply Projects in Developing Countries: Case Study 
of Tajikistan”.  
 
This research is undertaken by Mrs. Nargis Artyushevskaya, MS Candidate in Environmental Studies, 
College of Environmental Science and Forestry of the State University of New York (SUNY ESF). Her 
research aims at analyzing the role of female community members participation in rural community‐
managed drinking water supply projects to the sustainability of the projects. This research is a logical 
continuation  of  her  previous  study  on  the  Sustainability  of  Drinking  Water  Supply  projects  in 
Tajikistan (2012), which you actively contributed to. 
 
Nargis  would  be  very  thankful  if  you  could  spend  your  10‐15  minutes  to  complete  the  attached 
questionnaire. Your participation is very important and responses will remain confidential. 
 
Please find enclosed the Informed Consent Form with additional information on the research. You 
are  kindly  requested  to  send  the  completed questionnaire  with the  consent  form  back  to  Nargis 
Artyushevskaya at (nartyush@syr.edu) before ___________ [deadline]. 
 
 
Текст обращения в участникам  
Письмо к участникам  опроса, партнерам ТАДВСС 
 
Уважаемые партнеры ТАДВСС, 
Вы приглашены принять участие в опросе по исследованию «Роль женщин для устойчивости 
проектов  питьевого  водоснабжения  финансируемые  донорами  в  развивающихся  странах: 
пример Таджикистана». 
 
Данное  исследование  проводится  Наргис  Артушевской,  Кандидатом  Наук  в  сфере 
Окружающей  Среды,  Колледжа  Окружающей  Среды  и  Лесоводства,  Государственного 
Университета штата Нью‐Йорк. Ее исследование направлено на проведение анализа о роли 
участия  женщин,  представительниц  местных  общин,  в  сельских  проектах  по  питьевому 
водоснабжению  и  их  устойчивость.  Данное  исследование  является  логическим 
продолжением  предыдущего  исследования  об  Устойчивости  Проектов  по  Питьевому 
Водоснабжению в Таджикистане, в котором вы приняли активное участие. 
 
Наргис будет очень признательна если бы Вы смогли уделить 10‐15 минут своего времени на 
заполнение приложенного вопросника. Ваше участие очень важно для данного исследования 
и вся информация будет оставаться конфиденциальной. 
 
Пожалуйста  найдите  в  приложении  документ  Официального  Соглашения  с  дополнительной 
информацией об исследовании. Мы убедительно просим Вас выслать заполненный вопросник 
с  согласием  на  участие  на  электронный  адрес  Наргис  Артушевской  (nstyush@syr.edu)  до 
_____________ (срока). 

  132

Annex H. Survey Pre‐test Recruitment Script 

 
 
Dear ____________________________________________ (name of participant), 
 
You are kindly invited to participate in the pre‐testing of the survey questionnaire on the “Women’s 
participation in the sustainability of drinking water supply projects”. This questionnaire is designed 
to collect the opinions of specialists in the case study country (Tajikistan) on the role of women’s 
participation  for  the  sustainability  of  the  projects.  The  present  format  of  the  questionnaire (doc, 
pdf) is chosen strategically to adjust to the convenience of the survey participants, due to potential 
problems with limited access to internet. Please find attached the informed consent form with more 
details on this research. 
 
With  this  invitation  for  the  pre‐testing,  you  are  kindly  asked  to  (i)  read  and  sign  the  informed 
consent form, and (ii) answer the questions in the attached questionnaire. In addition, please feel 
free to provide any general feedbacks with regard to this questionnaire with particular consideration 
of the following: 
1. Are questions clear and readable? Do you think any particular question(s) should be rephrased? 
2. Does the chosen ranking design for the questions seem to be appropriate? 
3. Do you have any additional questions you think should be included into this questionnaire? 
4. How much time did you spend to complete the questionnaire? 
5. Does  the  background  information  provided  on  the  first  page  of  the  questionnaire  is  clear  and 
sufficient? 
I will highly appreciate if you could return the completed questionnaire and the informed consent 
form within the next three days (if possible). 
 
Your feedback is very important for the pre‐testing of the survey tool. Let me know if you have any 
questions. 
Kind regards, Nargis 
 
 
Nargis Artyushevskaya 
MS Candidate, Environmental Studies 
SUNY ESF 
nartyush@syr.edu 
(1) 315‐600‐0081

 
 
 
   

  133

Annex I. Survey Pre‐test Informed Consent 

INFORMED CONSENT FORM 
 

PRE‐TESTING OF THE SURVEY TOOL  

on the role of women in sustainability of constructed drinking water projects in developing countries 

The purpose of this form is to provide a clear explanation of the nature of this research. Once you 
are entirely satisfied with this explanation and freely choose to participate in the pre‐testing of the 
survey  tool,  you  may  indicate  your  willingness  to  participate  by  signing  below.  If  you  have  any 
concerns or questions please direct them to the Student Researcher or the Principle Investigator at 
the contact details provided below. 

This study is a research project on the “Role of Women in Sustainability of Donor‐funded Drinking 
Water  Supply  Projects  in  Developing  Countries:  Case  Study  of  Tajikistan”  undertaken  by  Nargis 
Artyushevskaya, in partial fulfillment of the requirements of MS Program in Environmental Studies, 
College of Environmental Science and Forestry, State University of New York (SUNY ESF).  
The research aims at providing a comprehensive analysis on the possible impacts of different forms 
of  women’s  involvement  and  participation  in  rural  drinking  water  supply  project  activities  to  the 
project effectiveness and success/ sustainability. The researcher plans to analyze the available base 
of literature on the topic, as well as collect the opinions of experts, involved directly or indirectly in 
financing, implementation and monitoring of drinking water supply projects in rural Tajikistan. 

The participation in the survey pre‐testing is voluntary and you may decide to withdraw from the 
participation at any moment without penalty. If you decide to participate in the pre‐testing you have 
a right to  leave your name anonymous. The  information collected through the pre‐testing of the 
survey tools will be kept confidential and the identity of individual responses will not be revealed in 
the best of investigator ability, unless stated otherwise by the Participant.   

I have received a copy of this consent form and I understand the nature of the research project. I 
declare that I am 18 years of age or older and I voluntarily agree to take part in the pre‐testing of 
the survey tool without expecting any compensation.  

_____________________________________        _______________ 
Signature                  Date 
___________________________________________________________________________ 
Name, position, organization (please leave anonymous, if decided)  
 
Nargis Artyushevskaya          Dr. Richard Smardon 
Student Researcher          Principle Investigator 
MS Candidate, Environmental Studies      Professor, Environmental Studies  
SUNY ESF            SUNY ESF 
nartyush@syr.edu          rsmardon@esf.edu  
(1) 315‐600‐0081          (1) 315‐470‐657 

   

  134

Annex J. Survey Pre‐test Results  

 

#  Type of Comment  Recommendations/ Suggestions 

1  Terms and Definitions   Include short summary definition on key terms, such as 
“project sustainability”, “sustainability” 

 Extend on the general information concerning the 
research project to provide more background to the 
respondent 

2  Working and Language   Rephrase wordings such as “tokenism” 
 Reformulate some of the questions for respondents to 

understand easier 
3  Ranking scale and format   The ranking scale on “importance” has been revised 

 Use larger fonts/make bold some parts of the 
questionnaire to attract greater attention of a 
respondent  

 Improve the format so that it is convenient for any 
respondent to check the answers, i.e. make boxes for 
option answers clickable  

 Add “I don’t know” to the questions with “true/false” 
answer type of questions 

 Consider minimizing the number of open‐ended 
“comment” sections and consider having only one 
space fort the comments at the end of a section 

 Put questions and answer options in different color for 
a respondent to better distinct from question and 
answer sections 

4  Other   Include one more category in the General Section on 
the type of agency being represented by a respondent, 
i.e. “educational institution/ university” 

 Include one more option in the General Section on 
experience, i.e. 0‐5 years of experience 

 May need to include some more information on the 
instructions of completing the questionnaire 

 Delete the last section requesting contact information 
of a respondent  

 
The overall time reported by the respondents of the pre‐testing stage was 15‐20 min for the 
completion of the survey. However, some respondents said that it should take less time if 
the actual participants of the survey are familiar with the language/context. 
 
It has also noticed by the respondents that some questions may tend to prompt a 
respondent to agree with the statement rather than disagree. Thus the formulation of such 
questions has been revisited and improve to improve the understanding of the questions. 
 

   

  135

Annex K. Survey Piloting Recruitment Script 

 
Dear ___________________________________________ (name of the participant), 
 
You are kindly  invited to participate  in the piloting of the survey questionnaire on the “Women’s 
participation in the sustainability of drinking water supply projects”. This questionnaire is designed 
to collect the opinions of specialists in the case study country (Tajikistan) on the role of women’s 
participation for the sustainability of the projects. Please find attached the informed consent form 
with more details on this research. 
 
With this invitation for the piloting, you are kindly asked to (i) read and sign the informed consent 
form, and (ii) answer the questions  in the attached questionnaire. Please feel free to provide any 
general feedbacks with regard to this questionnaire and any particular suggestions to improve the 
tool. 
 
I will highly appreciate if you could return the completed questionnaire and the informed consent 
form by _________ (date). 
 
Your feedback  is very  important for the piloting of the survey tool. Let me know  if you have any 
questions. 
 
Kind regards, Nargis 
 
MS Candidate in Environmental Studies 
College of Environmental Science and Forestry 
State University of New York 
Mob: 1 (315) 600 0081 
E‐mail: nartyush@syr.edu 

 
 
 
   

  136

Annex L. Survey Piloting Informed Consent  

INFORMED CONSENT FORM 
PILOTING OF THE SURVEY TOOL  

on the role of women in sustainability of constructed drinking water projects in developing countries 

The purpose of this form is to provide a clear explanation of the nature of this research. Once you 
are  entirely  satisfied  with  this  explanation  and  freely  choose  to  participate  in  the  piloting  of  the 
survey  tool,  you  may  indicate  your  willingness  to  participate  by  signing  below.  If  you  have  any 
concerns or questions please direct them to the Student Researcher at the contact details provided 
below. 

This study is a research project on the “Role of Women in Sustainability of Donor‐funded Drinking 
Water  Supply  Projects  in  Developing  Countries:  Case  Study  of  Tajikistan”  undertaken  by  Nargis 
Artyushevskaya, in partial fulfillment of the requirements of MS Program in Environmental Studies, 
College of Environmental Science and Forestry, State University of New York (SUNY ESF).  
The research aims at providing a comprehensive analysis on the possible impacts of different forms 
of  women’s  involvement  and  participation  in  rural  drinking  water  supply  project  activities  to  the 
project effectiveness and success/ sustainability. The researcher plans to analyze the available base 
of literature on the topic, as well as collect the opinions of experts, involved directly or indirectly in 
financing, implementation and monitoring of drinking water supply projects in rural Tajikistan. 

The  participation  in  the  survey  piloting  is  voluntary  and  you  may  decide  to  withdraw  from  the 
participation at any moment without penalty. If you decide to participate in the piloting you have a 
right to leave your name anonymous. The information collected through the piloting of the survey 
tools will be kept confidential and the  identity of  individual responses will not be revealed  in the 
best of investigator ability, unless stated otherwise by the Participant.   

I have received a copy of this consent form and I understand the nature of the research project. I 
declare that I am 18 years of age or older and I voluntarily agree to take part in the pre‐testing of 
the survey tool without expecting any compensation.  
_____________________________________        _______________ 
Signature                  Date 
___________________________________________________________________________ 
Name, position, organization (please leave anonymous, if decided)  
 
Nargis Artyushevskaya          Dr. Richard Smardon 
Student Researcher          Principle Investigator 
MS Candidate, Environmental Studies      Professor, Environmental Studies  
SUNY ESF            SUNY ESF 
nartyush@syr.edu          rsmardon@esf.edu  
(1) 315‐600‐0081          (1) 315‐470‐657 
 
 

137

Annex M. Literature Review Findings Tabulation  

#  Year  Author(s)  Country  Projects Assessed/ methods Major findings/ factors of success Major findings/factors of 
failure 

1  2000  Kleemeier  Malawi  The Impact of Participation on 
Sustainability: An Analysis of 
the Malawi Rural Piped Scheme 
Program 

Case study of 17 schemes 
Qualitative (field 
observations) 

‐ External agency support for 
community management 
committees 
‐ Better management and repair 
capacity 

2  2002  James, 
Verhagen, van 
Wijk, 
Nanavaty, 
Parikh, & Bhatt  

India  Transforming time into money 
using water: A participatory 
study of economics and gender 
in rural India 

Case study of two villages 

Qualitative (field 
observations, interviews) 

‐ Provision of earning opportunities 
for women 
‐ Involvement of empowered 
women in decision‐making 

3  2003  Jakariya,  
Chowdhury, 
Hossain, 
Rahman, 
Sarker, Khan, & 
Rahman 

Bangladesh  Sustainable community‐based 
safe water options to 
Mitigate the Bangladesh arsenic 
catastrophe – An 
Experience from two upazilas

22
 

Qualitative and 
quantitative (testing of 
51,685 tube wells) 

‐ Close integration with the 
community; 
‐ Appropriate technical solutions 
‐ Training of female village 
volunteers 

4  2003  Admassu, 
Kumie, & 
Fantahun 

Ethiopia  Household study among 768 
households in 11 randomly 
selected associations in North 
Gondar using a pre‐tested 
structured questionnaire, focus 
group discussions and 114 
physical site observations in 
Dec 2001‐Jan 2002 

Quantitative (surveys)
Qualitative (focus groups, 
field observations 

‐ Modest water service fee
‐ Moderate distance from water 
points 
‐ Community involvement in all 
stages of water development 
‐ Adequate skill and capacity to 
maintain water sources 
‐ Gender sensitivity  

‐ Insufficient community 
partnership with 
management 

‐ Lack of adequate skills of 
financial management 

‐ Absence of gender 
sensitivity 

5  2004  Doe & Khan   Ghana  The boundaries and limits of 
community‐management: 
lessons from the water sector 
in Ghana 

Qualitative (literature 
review) 

‐ (Small) size of village population 
(community cohesion) 
‐ Community participation in 
decision‐making, planning and 
service provision 

22
 the districts of Bangladesh are divided into sub‐districts called Upazila 

  138

‐ Sense of ownership

6  2004  FonJong, 
Nebasina  & 
Fonchingong 

Cameroon  Rethinking the contribution of 
indigenous management in 
small‐scale water provision 
among selected rural 
communities in Cameroon 
Case study 

Qualitative (literature 
review, interviews) 

‐ 

Community participation

‐ Involvement of women in project 
planning 
‐ Involvement of women in project 
management 

7  2004  Musonda  Zambia  Issues regarding sustainability 
of rural water supply in Zambia 

Case Study
Qualitative (24 
interviews) 

‐ effective community organization
‐ communities have the ability to 
operate and maintain 
‐ communities are able to raise 
adequate user fees for purchasing 
spare parts 
‐ there is a strong backup support 
at the district level to carry out 
major repairs 

8  2004  O’Reilly  India  Developing Contradictions: 
Women’s Participation as a Site 
of Struggle Within an Indian 
NGO 

Case study
Qualitative (interviews, 
observations, document 
review) 

  ‐ Women’s participation 
not taken seriously 
‐ Women’s participation as 
a “decorative item” 
‐ Lack of women’s agency 
and power 

9  2004  Prokopy  India  Women’s participation in rural 
water supply projects in India: 
is it moving beyond tokenism 
and does it matter? 

Qualitative (focus groups, 
interviews) and 

quantitative (household 
surveys) 
 
45 villages 

‐ Community participation is 
generally positive 
‐ Participation of women is not 
against general custom 
‐ Men support women’s 
involvement 
‐ Women are interested and do 
not hesitate to participate 
‐ Women has agency and allowed 
to speak out 
‐ Women are consulted on the 
project 

‐ Participation of women
as nominal or token 
‐ Participation of women 
as a reservation policy 

10  2005  Prokopy  India  The relationship between 
participation and project 

Quantitative (regression 
model) and qualitative 

‐ Community contribution into 
capital costs 

  139

outcomes: Evidence from rural 
water supply projects in India 

(interviews)  ‐ Household involvement in 
decision‐making  

11  2005  Bhandari, 
Grant & 
Pokharel 

Nepal  Sustainable community water: 
Managing supply systems in the 
mid‐hills of Nepal 

Qualitative (interviews) 
and quantitative 
(household survey) 
 

‐ 

Involvement of women in project 
planning 

‐ Government supervision, 
adequate mechanisms for the 
handover of constructed schemes, 
and coordination among local 
water committees and local 
government 

‐ Lack of involvement of 
women during the 
planning stages 

12  2005  Garande & 
Dagg 

Chile  Public Participation and 
Effective Water Governance at 
the Local Level: A Case Study 
from a small under‐developed 
area in Chile 

Case study
Qualitative 

‐ Community participation in 
planning and management 
‐ Participation should be inclusive 
and communicative 

‐ Lack of comprehensive 
consultation with 
community 
‐ Low level of participation 
of community 
‐ Lack of transparency 

13  2006  Singh  India  Women’s Participation in Local 
Water Governance: 
Understanding Institutional 
Contradictions 

Qualitative (observations, 
interviews, focus groups) 
 
22 villages in 5 districts 

‐ Homogeneity in women’s groups 
for participation 

‐ Heterogeneity in 
women’s groups for 
participation 
‐ Women’s participation is 
passive and tokenistic 

14  2006  Magrath 

Sierra 
Leone 

Towards Sustainable Water‐
Supply Solutions in Rural Sierra 
Leone  A Pragmatic Approach, 
Using Comparisons with 
Mozambique 

Quantitative (surveys) ‐ Low‐tech technology
‐ Post‐project support 
‐ Availability of tools and spare 
parts 
‐ Community capacity building 
‐ Health education 

‐ Lack of community 
cohesion 
‐ Women’s workload and 
position in society 

15  2006  Cleaver & 
Toner 

Tanzania  The Evolution of Community 
Water Governance in Uchira, 
Tanzania: the implications for 
equity of access, sustainability 
and effectiveness  
Case study 

Qualitative (field 
observations, interviews, 
document review) 

‐ Sense of community ownership 

16  2006  Hoko & Hertle   Zimbabwe  An evaluation of the 
sustainability of a rural water 
rehabilitation project in 

Case Study
Qualitative (field 
observations, interviews) 

‐ Active community involvement
‐ Strengthened capacity of water 
committees 

  140

Zimbabwe Easiness of operation of facility
‐ Improved awareness of local 
communities on the project 

17  2006  Haysom  Tanzania  A study of the factors affecting 
sustainability of rural water 
supplies in Tanzania 

Qualitative and 
Quantitative 
38 villages in 6 regions 

‐ Pricing based on achieving full 
cost‐recovery 
‐ Simplicity in management 
structures 

‐ Ongoing use of 
alternative sources is 
found to undermine cost 
recovery 

18  2007  Acharya, 
Yoshino, Jimba, 
& Wakai 

Nepal  Case study of community 
development program School 
and Community Health Project 
launched in 1992 in 15 villages 
(45,000 people) to improve the 
overall living conditions of 
people through health, 
economic and educational 
improvements and targeted 
women. 
Qualitative and quantitative 
techniques of data analysis 
through benchmark data 
analysis 

Qualitative
Quantitative 

‐ Homogeneity in community 
management groups  

‐ Project dynamism  
‐ Outside support and people’s 

initiative  

‐ Heterogeneity in 
community management 
groups 

‐ Lack dynamism and mere 
financial support 

19  2007  Gleitsmann, 
Kroma & 
Tammo 

Mali  Analysis of a rural water supply 
project in three communities in 
Mali: Participation and 
Sustainability 

Case study of three 
villages 
Qualitative (focus groups, 
key informant interviews) 
and quantitative 
(household surveys) 

  ‐ Lack of commitment to 
maintain 
‐ Inappropriate technology 
‐ Women (and herders) 
not involved in 
management  

20  2008  deWilde, 
Milman, Flores, 
Salmeron & 
Ray 

Mexico  An Integrated Method for 
Evaluating Community‐based 
Safe Water Programs and an 
application in rural Mexico 
31 study communities 

Qualitative (field 
observations, interviews, 
document review) 

‐ User convenience (esp. among 
women) 

21  2008  Gine & Perez‐
Foguet 

Tanzania  Sustainability assessment of 
national rural water supply 
program in Tanzania 

Qualitative (literature 
review, interviews, 
meeting, field 
observations) 

‐ Management at the lowest 
appropriate level 
‐ Communities owning and 
managing their water schemes 

  141

‐  Availability of spare parts and 
knowhow 
‐ Full cost recovery for operation 
and maintenance of the scheme 
‐ The protection of water sources 
‐ Balancing between technology, 
service level and the capacity of 
the beneficiaries 
‐ The recognition of women as key 
players and the inclusion of the 
poor 

22  2008  Prokopy, 
Thorsten, 
Bakalian & 
Wakeman 

Peru  Evaluating the Role of post‐
construction Support 
in Sustaining Drinking Water 
Projects Evidence from Peru 

Case study: two programs 
Quantitative (household 
survey, system operator 
survey) and qualitative 
(focus groups) 

‐ Post construction support 
(technical, educational, 
managerial, financial assistance 
externally received) 

23  2008  Smith  Pakistan  A critical appreciation of the 
“bottom‐up” approach to 
sustainable water 
management: embracing 
complexity rather than 
desirability 

Case study
Qualitative 

  ‐ Community participation 
passive and tokenistic 
‐ local level capacity 
constrains 
‐ critical lack of facilitator 
knowledge 

24  2009  Busari 
 

Swaziland  Water, sanitation and 
sustainability: lessons from a 
community‐project 
Case Study 

Qualitative (field work 
observations, interviews, 
document review) 

‐ Close coordination of all 
stakeholders in planning, 
packaging and implementing the 
project 

25  2009  Esposto   Darfur 
Iraq 

The sustainability of applied 
technologies for water supply in 
developing countries 
Case studies 

Qualitative ‐ Choice of technology (locally 
oriented) 

26  2009  Montgomery, 
Bartram & 
Elimelech 

Sub‐
Saharan 

Africa 

Increasing Functional 
Sustainability of Water and 
Sanitation Supplies in Rural 
Sub‐Saharan Africa 

Case Study
Qualitative 

‐ effective community demand
‐ local financing and cost recovery 
‐ dynamic operation and 
maintetance 

27  2009  Prokopy  India  Determinants and Benefits of 
Household Level Participation 

Qualitative (focus groups, 
interviews) and 

‐ Higher levels of overall 
community participation in a 

  142

in Rural Drinking Water Projects 
in India 

quantitative (household 
surveys) 
 
45 villages 

project

28  2009  Sultana  Bangladesh  Community and participation in 
water resources management: 
gendering and naturing 
development debates from 
Bangladesh 

Case study
Qualitative (observations, 
focus groups, interviews) 

  ‐ Social and geographical 
restrictions of women to 
practice participation 
(women’s exclusions in 
participation) 
‐ Heterogeneity in 
participation groups 

29  2009  Whittington, 
Davis, Prokopy, 
Komives, 
Thorsten, 
Lukacs, 
Bakalian & 
Wakeman 

Bolivia 
Peru 
Ghana 

How well is the demand‐driven, 
community management 
model for rural water supply 
systems doing? Evidence from 
Bolivia, Peru and Ghana 

Case studies
Qualitative (interviews, 
focus groups) 

‐ Access to spare parts 
‐ Community participation 
‐ Post‐construction support (?) 

30  2010  Aladuwaka & 
Momsen 

Sri Lanka  A case study of Wanaraniya 
water project in Sri Lanka 
covering 283 households (964 
families) 
 

Qualitative methods 
(interviews, focus groups, 
field observations) 

‐ Community participation
‐ Women’s commitment to (hard 

work) 
‐ Partnership with others 

(government bodies, NGOs) 
‐ Women’s participation and 

leadership in project planning 
and design 

‐ Women’s agency and control 
over water (power of 
disconnecting water) 

‐ Women’s solidarity 
‐ Employment opportunities of 

women 
‐ Support of males to women’s 

leadership 
‐ Sense of ownership 
‐ Knowing technology and how 

  143

to fix 

breakdowns 

‐ Affordability of fixing 

breakdowns 

31  2010  Armanios  Egypt  Sustainable Development as a 
Community of Practice: Insights 
from Rural Water Projects in 
Egypt 
 
23 water projects 

Qualitative (field 
observations, interviews) 
 

  ‐ Lack of economic 
sustainability (debts and 
economic burdens to 
future generation) 

32  2010  Barnes & 
Ashbolt 

Philippines  Planning for Sustainable Water 
and Sanitation Projects in Rural 
Developing Communities 
Case study of Philippines  

Qualitative (field 
observations, interviews) 

‐ Community involvement in 
project planning and development 
workers as facilitators 
‐ Commitment of beneficiaries to 
the project 
‐ Project initiation arising from 
within a community 
‐ Genuine need for water 
‐ Integrity and transparency 
between community and 
development workers 

33  2010  Jiméneza & 
Pérez‐Foguetb  

Tanzania  Challenges for Water 
Governance in Rural Water 
Supply: Lessons Learned from 
Tanzania 

Qualitative (field 
observation, interviews, 
case studies) 

‐ Strengthening role of local 
government 
 

‐ Limitations in community 
funds 
‐ Low professionalism in 
the management of 
services 
‐ Limited role of 
decentralized government 
with regard to monitoring, 
regulation and technical 
support 

34  2010  Masduqi, 
Endah, 
Soedjono & 
Hadi 

Indonesia   Structural equation modeling 
for assessing of the 
sustainability of rural water 
supply systems 

Qualitative (interviews, 
field observation) 
Structural Equation 
Modelling  

‐ selection of technology
‐ water sources 
‐ investment cost 
‐ capability of operator 
‐ availability of spare parts 
‐ operation cost 

  144

‐ technical operation
‐ community participation 
‐ institutional management 

35  2010  Massoud, Al‐
Abady, Jurdi & 
Nuwayhid 

Lebanon  The Challenges of Sustainable 
Access to Safe Drinking Water 
in Rural Areas of Developing 
Countries: Case of Zawtar El‐
Charkieh, Southern Lebanon 

Case study
Qualitative 

‐ Integration of quality of water 
supply management and 
educational programs 

‐ contamination of the 
source 
‐ poor maintenance 
operations 
‐ aging of the networks 

36  2010  Padawangi  Pakistan  Community‐Driven 
Development as Drivers of 
Change: Water Supply and 
Sanitation Projects in Rural 
Punjab, Pakistan 

Qualitative (interviews) 
and quantitative  
(regression analysis) 
 
78 projects 

‐ community participation
‐ women’s active involvement 
‐ support of community‐
management model by the 
government  
‐ community owenrship and 
appreciation of the project 
‐ public sector provides continuous 
monitoring and guidance 

37  2011  Madrial, 
Alpizar & 
Schlute 

Costa Rica  Determinants of Performance 
of Community‐Based Drinking 
Water Organizations 

Four case study
Qualitative 

‐ High sense of ownership
‐  Human capital (expertise, 
education, leadership, 
participation by women) 
‐ Training programs that include 
young people and women 

38  2012  Holm   Malawi  Recent History Provides 
Sustainable African Water 
Quality Project Insight 

Case study
Qualitative (field 
observations) 

‐ Identification of needs
‐ Partnerships with community 
‐ ‐ An exit strategy 

39  2012  Opare  Ghana  Rainwater harvesting: an option 
for sustainable rural water 
supply in Ghana 

Case study (two 
communities) 
Qualitative 

‐ affordability
‐ ease of operations 
‐ user ownership 
‐ user management 

145

Annex N. Categorization of Literature Review Findings  

#  Author(s)  Country  Typology of project sustainability factors

Technical  Financial Institutional Social Other

1  Kleemeier, 
2000 

Malawi  Repair capacity External agency post‐
project support 

Management 
capacity 

 

2  James et al., 
2002  

India    Empowerment of women: provision 
of earning opportunities 
Involvement women in decision‐
making  

3  Jakariya et al., 
2003 

Bangladesh  Appropriate technical 
solutions 

Close integration with community
Training of female village volunteers 

4  Admassu et 
al., 2003 

Ethiopia  Adequate skills and 
capacity to maintain 
water source 

Modest water service 
fee 

Community involvement in all stages 
of water project 
Gender sensitivity 

Moderate distance 
from water points 
 

5  Doe & Khan , 
2004 

Ghana    Community participation in decision‐
making 
Sense of ownership 
(Small) size of village population 
(community cohesion) 

6  FonJong et al., 
2004 

Cameroon    Community participation
Involvement of women in project 
planning and management 

7  Musonda, 
2004 

Zambia  Ability to operate and 
maintain 

Communities are able 
to raise adequate user 
fees for purchasing 
spare parts 
Strong backup support 
at the district level to 
carry out major repairs 

Effective community organization
 

8  O’Reilly, 2004  India    Women’s participation perceived 
seriously and is not a decorative item 
Women’s agency and power 

9  Prokopy, 2004  India    Community participation
Participation of women is not against 

  146

general custom
Men support women’s involvement 
Women are interested and do not 
hesitate to participate 
Women has agency and allowed to 
speak out 
Women are consulted on the project 

10  Prokopy, 2005  India    Community 
contribution into 
capital costs 

Household involvement in decision‐
making 

11  Bhandari et 
al., 2005 

Nepal    Government 
supervision 
Adequate 
mechanisms for the 
handover of 
constructed schemes 
Coordination among 
local water 
committees and local 
government 

Involvement of women in project 
planning 

12  Garande & 
Dagg, 2005 

Chile    Transparency Community participation in planning 
and management 
Community participation inclusive 
and communicative 

13  Singh, 2006  India    Homogeneity in women’s groups for 
participation 
Women’s participation is active 

14  Magrath, 
2006 

Sierra 
Leone 

Low‐tech technology
Availability of tools 
and spare parts 
Community’s capacity 
in construction 

Community cohesion
Women’s and societal position 
affects negatively 

15  Cleaver & 
Toner, 2006 

Tanzania    Sense of community ownership

16  Hoko & 
Hertle, 2006 

Zimbabwe    Strengthened 
capacity of water 

Active community involvement
Improved community awareness 

  147

committees about the project

17  Haysom, 2006  Tanzania    Full cost‐recovery tariff Simplicity in the 
management 
structures 

  Ongoing use of 
alternative sources can 
undermine cost 
recovery 

18  Acharya et al, 
2007 

Nepal    Outside support Homogeneity in community 
management groups  
People’s initiative 

Project dynamism 
 

19  Gleitsmann et 
al., 2007 

Mali  Appropriate 
technology 

Commitment to maintain
Women (and herders) are involved 
in management 

20  deWilde et al., 
2008 

Mexico    User convenience (esp. among 
women) 

21  Gine & Perez‐
Foguet, 2008 

Tanzania  Availability of spare 
parts and knowhow 

Full cost recovery for 
operation and 
maintenance 
 

Management at the 
lowest appropriate 
level 
 

Communities ownership and 
management of water schemes 
Recognition of women as key players 
and the inclusion of the poor 
 

Protection of water 
sources 
Balancing between 
technology, service 
level and the capacity 
of the beneficiaries 
 

22  Prokopy et al., 
2008 

Peru  Technical external 
post‐construction 
assistance  

Financial external post‐
construction support 
assistance 

Managerial and 
educational post‐
construction support 
from outside 

 

23  Smith, 2009  Pakistan    Sufficient knowledge 
to manage 

Active (and not tokenistic) 
community participation 
Local level capacity constrains 

24  Busari, 2009 
 

Swaziland    Close coordination of 
all stakeholders in 
planning, packaging 
and implementing 
the project 

 

25  Esposto, 2009  Darfur 
Iraq 

Choice of technology 
(locally oriented) 

 

26  Montgomery 
et al., 2009 

Sub‐
Saharan 

  Local financing and 
cost recovery 

Dynamic operation 
and maintetance 

Effective community demand

  148

Africa 

27  Prokopy, 2009  India    Higher levels of overall community 
participation in a project 

28  Sultana, 2009  Bangladesh    No social and geographical 
restrictions of women to practice 
participation (women’s inclusion in 
participation) 
Homogeneity in participation groups 

29  Whittington 
et al., 2009 

Bolivia 
Peru 
Ghana 

Access to spare parts Post‐construction 
support 

Community participation

30  Aladuwaka & 
Momsen, 
2010 

Sri Lanka  Knowing technology 
and how to fix 
breakdowns 

Affordability of fixing 
breakdowns 
 

Partnership with 
others (government 
bodies, NGOs) 

 

Community participation
Women’s commitment to projects 
(hardwork) 
Women’s participation and 
leadership in project planning and 
design 
Women’s agency and control over 
water (power of disconnecting 
water) 
Women’s solidarity 
Employment opportunities of 
women 
Support of males to women’s 
leadership 
Sense of ownership 
 

31  Armanios, 
2010 

Egypt    Financial sustainability 
(no debts and 
economic burdens to 
future generation) 

32  Barnes & 
Ashbolt, 2010 

Philippines    Community involvement in project 
planning and  
Commitment of beneficiaries to the 
project 
Project initiation arising from within 

Genuine need for water
Integrity and 
Transparency between 
community and 
development workers 

  149

a community Development workers 
should act as 
facilitators 

33  Jiméneza & 
Pérez‐
Foguetb, 2010 

Tanzania    Sufficient community 
funds 

Strong role of local 
government 
Professionalism in 
the management of 
services 

  Limited role of 
decentralized 
government with 
regard to monitoring, 
regulation and 
technical support 

34  Masduqi et 
al., 2010 

Indonesia   Technology choice and 
adequate technical 
operation 
Availability of spare 
parts 
 

Sufficient investment 
costs 
Adequate operational 
costs 

Capability of 
operators 
Institutional 
management 

Community participation Water source

35  Massoud et 
al., 2010 

Lebanon  Adequate 
maintenance 
operations 

Qualitative water 
supply management 
and educational 
programs 

Prevent contamination 
of water sources 

36  Padawangi, 
2010 

Pakistan    Support of 
community‐
management model 
by the government  
Community 
owenrship and 
appreciation of the 
project 
Public sector 
provides continuous 
monitoring and 
guidance 

Community participation
Women’s active involvement 
 

37  Madrial et al., 
2011 

Costa Rica    High sense of ownership
Human capital (expertise, education, 
leadership, participation by women) 
Training programs that include 
young people and women 

  150

38  Holm, 2012  Malawi    Proper exist strategy 
(for handover) 

Partnerships with community
 

Accurate identification 
of needs 

39  Opare, 2012  Ghana  Ease of operations  Project affordability User ownership
User management 

151

Annex O. Crosstab of survey results: General Information on Survey Participants 

Case Processing Summary 

  Cases
Valid Missing Total 

N  Percent N Percent N Percent 
Gender * Age  44 95.7% 2 4.3% 46 100.0% 
Gender * Type of agency a 
respondent works for 

46 100.0% 0 0.0% 46 100.0% 

Gender * Years of experience  46 100.0% 0 0.0% 46 100.0% 
Gender * Professional 
occupation 

46 100.0% 0 0.0% 46 100.0% 
 

Gender * Age Crosstabulation
Count   

  Age Total
0‐30  31‐40 41‐50 51‐60 60+ 

Gender 
male  2 7 10 7  4 30
female  3 3 3 3  2 14

Total  5 10 13 10  6 44

 
 

Gender * Type of agency a respondent works for Crosstabulation
Count     

  Type of agency a respondent works for
internation
al or local 
donor 
agency 

internatio
nal or 

local NGO

government
al agency 
community‐
based 
organization 
consulting or 
research 
institution 
private 
sector 
total
Gender 
male  8  9 8 3 2  1  31
female  1  6 1 4 2  1  15
Total  9  15 9 7 4  2  46
 

Gender * Years of experience Crosstabulation
Count   

  Years of experience Total 
0‐5 years  6‐10 years 11‐20 years 21‐30 years 30+ years 

Gender 
male  6  9 11 3 2  31
female  7  5 3 0 0  15
Total  13  14 14 3 2  46
 

Gender * Professional occupation Crosstabulation
Count   

  Professional occupation Total
project 

manager/tea
m leader 

engineer/te
chnical 
worker 

trainer/edu
cator 

monitoring/
evaluation 

community 
mobilizer 

other 

Gender 
male  15  6 1 2 1  6  31
female  8  0 3 2 0  2  15

Total  23  6 4 4 1  8  46

152

Annex P. Survey results: agreement to country‐specific statements 

 
Statistics 
 

  5.1 Women in 

Tajikistan 

presently have 

equal rights (to 

men) to 

participate in the 
implementation 
and maintenance 
of projects 

5.2 It is 

important for the 

sustainability of 
the project that 
women have 
equal rights (to 
men) to 
participate in 
projects 

5.3 Women are 

given more 

opportunities (by 

donors, 
implementing 

agencies and/or 

local authorities) 

to participate in 

projects 

5.4 Participation 

of women during 

the project 
construction 
does not 
contribute to the 
project 
sustainability 

5.5 Participation 

of women in the 
project operation 
and maintenance 
does not 
contribute to the 
project 
sustainability 

5.6 Women are 

capable of 

implementing 
the role of 
project operation 
and maintenance 
effectively 

5.7 Women’s 

participation in 

projects is 

symbolic and 

have no positive 

effects on project 

success and 
sustainability 


Valid  46  46 46 44 46 45 46

Missing  0  0 0 2 0 1 0

Mean  .65  .96 .48 .09 .07 .82 .11

Median  1.00  1.00 .00 .00 .00 1.00 .00

Mode  1  1 0 0 0 1 0

Std. Deviation  .482  .206 .505 .291 .250 .387 .315

Variance  .232  .043 .255 .085 .062 .149 .099

Minimum  0  0 0 0 0 0 0

Maximum  1  1 1 1 1 1 1

 

153

CURRICULUM VITAE 

NARGIS A. ARTYUSHEVSKAYA 
 

11/8 Fedina, apt 65, Dushanbe, Tajikistan (734043) 
Phone: (315) 600‐0081,  nartushevskaya@hotmail.com; nartyush@syr.edu 

Linkedin: http://lnkd.in/qEMYGK  
 

 
 
 

SUMMARY 
 Ten years of professional experience in the area of water and sanitation, hygiene education, emergency 

response. 

 Fulbright  Exchange  Student:  Candidate  of  Master  of  Science  in  Environmental  Studies,  College  of 
Environmental Science and Forestry, State University of New York (SUNY ESF). 

 Graduated from the University of Oxford, Master of Science in Water Science, Policy and Management. 
Possesses Bachelor degree in Management and Associate Degree in Computer Sciences. 

 
 

Education and qualifications 

 
State University of New York, College of Environmental Science and Forestry      2012 – 2014 
Syracuse, NYS, U.S.A.     
MS candidate in Environmental Studies 
 
Oxford University, School of Geography and Environment          2011 – 2012 
Oxford, U.K.           
MSc in Water Science, Policy and Management 
 
Tajik State University of Nosiri Khusrav              2002 – 2007 
Kurgan Tyube, Tajikistan 
Management in Economics  
Diploma of Economist (equivalent to Bachelor degree) 
 
Tajik State Polytechnic College                1999 – 2002 
Kurgan Tyube, Tajikistan 
Computer‐based processing and system control       
Diploma of junior computer engineer 
 
 
 

Professional Experience 

United Nation Children’s Fund (UNICEF), Tajikistan                       2003 – 2011 
 
 
Water, Sanitation and Hygiene (WASH) Project Officer (April 2008 – September 2011) 
 Collection  and  critical  analysis  of  program  implementation  data  and  further  processing  into  Situation 

Analysis Reports (SitReps), project progress reports and end‐of‐year evaluation reports. 
 Coordination of project activities via technical cooperation and close coordination with project partners. 

Organization of flow of supplies and services to the project sites. 
 Development of annual project plans and budget design in consultation with government partners. 
 Preparation of project proposals to donors, fundraising concept notes and Program Review Papers. 
 Coordination of Water and Sanitation Emergency Response Activities via technical cooperation with sector 

  154

agencies.  Preparation  of  Contingency  Plans,  rapid  emergency  response  activities,  sector  updates  and 
Appeals to Donors. 

 Contribution to the development of country program documents, such as Country Program Action Plan 
(CPAP),  Poverty  Reduction  Strategy  Paper  (PRSP)  and  Assessment  of  Millennium  Development  Goals 
(MDGs). 

 Provision of technical inputs to the development of national standards for sanitation and water supply in 
schools in consultation with international experts and local government authorities. 

 Organization of field donor visits to the project sites; field monitoring of project activities, ensuring timely 
and successful implementation of project activities. 

 
 
WASH/ Education Project Assistant (February 2003 – April 2008) 
 Assisting Project Officer in data collection and analysis, monitoring and maintaining program records and 

archiving. 
 Assisting  in  preparation  of  progress  reports  via  obtaining  timely  updates  from  project  partners, 

government counterparts and service providers. Data processing and translation into appropriate format. 
 Monitoring of project activities in the field in coordination with local government authorities and project 

stakeholders. Ensuring timely field reports on the project progress. 
 Ensuring  smooth  and  effective  flow  of  communication  with  project  stakeholders  via  drafting  and 

translation of official letters. 
 Assisting  in  coordination  of  Water  and  Sanitation  Emergency  Response  Sector  via  drafting  of  meeting 

agendas and notes, ensuring timely flow of communication between sector partners and organization of 
emergency response activities to the affected project sites. 
 
 

 
Agency for Technical Cooperation and Development (ACTED), Tajikistan                 2000 – 2003
   
 
Water and Sanitation Program Assistant (Feb 2001 – Feb 2003) 
 Assisting Program Manager in overseeing project activities via collection, processing and analysis of data 

from the field. 

 Development and maintenance of project databases. 

 Contribution to the progress reports and project updates in preparation to donor visits, annual reviews. 

Technical assistance with organization of donor visits. 

 Organization of program coordination meetings, review of notes and dissemination of meeting updates. 

 Field monitoring of project activities and preparation of timely updates. 

 Drafting official letters, translation of program related documents. 

 Maintaining filing system and archiving of program related documents. 

 
 

Program Volunteer (Dec 2000 – Feb 2001) 
 Assisting in data collection, analysis and translation of program related materials. 

 Provision of clerical assistance with organization of meetings, logistics and follow‐up. 

 Assisting in maintaining of program filing and archive systems. 

 
 

Training and Conferences 

   
Water Security, Risk and Society Conference, Oxford, U.K.        2012 

WASH in schools on‐line course, Emory University/ UNICEF        2011 

Education in Emergency Training, Geneva, Switzerland        2010 

International Conference on “Water for Life”, Dushanbe, Tajikistan      2010 

International Conference on Inclusive Education          2008 

  155

UNICEF Emergency Awareness Training, Geneva, Switzerland        2008 

UNICEF Regional Water, sanitation and hygiene (WASH) training       

Montreux, Switzerland                2007 
UNICEF Mine Action and Small Arms Workshop, Geneva, Switzerland      2006 

Second World Water Forum, Mexico            2006 

International Round Table on Girls’ Education, Water, Sanitation and Hygiene    2005 

Oxford, UK 
Water Quality Monitoring Training, Dushanbe, Tajikistan        2004 

National Children’s Water Forum, Dushanbe, Tajikistan        2003 

 
Publications 
 Sustainability of Donor‐funded drinking water supply schemes in Tajikistan    2012 

Contributed to: 
 Repositioning UNICEF WASH in school strategy          2010 

 Tajikistan Rapid Emergency Assessment, WASH Cluster        2009 

 Tajikistan Water, Sanitation and Hygiene in schools survey        2008 

 National Rapid Water Quality Assessment Survey in Tajikistan       2006 

 
Awards and Scholarships 

 Huber Technology Fund 
 George Peter’s Bursary (Wolfson College, Oxford University) 
 Fulbright Foreign Exchange Student Scholarship 

 
LANGUAGES 
English, Russian, Tajik 

 

  
 
 
 

CULTIVATING SELF-SUSTAINING RURAL COMMUNITIES

A DESIGN EXPLORATION FOR DEVELOPMENT IN PUNA, HAWAI`I

A DARCH PROJECT SUBMITTED TO THE GRADUATE DIVISION OF THE
UNIVERSITY OF HAWAI`I AT MĀNOA IN PARTIAL FULFILLMENT

OF THE REQUIREMENTS FOR THE DEGREE OF

DOCTOR OF ARCHITECTURE

MAY

2016

By

Ryan J. Kam

DArch Committee:

Martin Despang, Chairperson
Davianna Pōmaika`i McGregor

Luciano Minerbi
Mark Kāwika McKeague

Keywords: Architecture, Planning, Land-use, Community Development, Sustainability, Culture

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ii

ABSTRACT

This design-research project investigates architectural and planning strategies for

developing self-sustaining rural communities. With the Hawaiian Islands being the most

isolated land masses in the world, indigenous settlers were not afforded the luxury of

imported food or goods. These Hawaiian settlers exercised careful land-use practices, and

formed close relationships with their natural environment, which they understood to be

imperative for their existence.

However, in the modern globalizing economy, architecture and planning in Hawai`i has

become increasingly indiscriminate to its land and natural resources. Development has

largely been driven by private economic gain, and has, in many ways, disregarded critical

social, cultural, and ecological needs, which are vital to achieving sustainable communities.

Community backlash in many recent highly politicized building projects has become

progressively noted, and reveals the need for Hawai`i to reconsider its architecture,

planning, and land-use practices.

Although such tensions are most apparent in Hawai`i’s urban cores, which have developed

in the matter of decades, pressures have quietly shifted to Hawai`i’s remaining rural

regions.

This project focuses its research investigation on Puna, a rural district on the Island of

Hawai`i, which currently outpaces the growth rate of Honolulu threefold. Punaʻs historic

changes in land-use are analyzed, as well as the subsequent impacts to the sustainability of

its communities. From the findings of this analysis, architecture and planning principles are

formulated with the intent of enabling self-sustaining rural communities. A conceptual

design intervention demonstrates the applicability of these principles in the final section of

this project. The theoretical design principles presented herein aim to serve as a precedent,

which can be translated by other rural Hawai`i communities to formulate and meet their own

sustainability goals.

Ultimately, this project intends to contribute to a sustainable future for the people of

Hawai`i. It alludes to the idea that an existence on an islands, with limited resources,

requires a unique approach that critically responds to its natural environment, an mindset

which formed the roots of Hawaiian culture and allowed them to flourish in isolation for

centuries.

iii

AKNOWLEDGEMENTS

Mahalo to my committee members
Martin, Davianna, Luciano, and Kāwika…

I feel truly privileged to have worked under your guidance.
Thank you for generously sharing your time and mana`o.

I can’t express enough appreciation for your contributions to this project.

In honor of my mentor
Professor Spencer Leineweber…

You have been a constant source of inspiration, and I feel blessed for the

insights you have shared with me. I will always remember you for the care and
understanding you endlessly showed. Your support has been invaluable.

Dedicated to my mother…

Thank you for everything you have done to help me get to this point in my life.

The hard work and dedication that you exemplify has been my source of motivation.
This project is dedicated to you and was not possible without your

encouragement and enduring faith in me.

i

v

TABLE OF CONTENTS

ABSTRACT ……………………………………………………………………………………………… ii

AKNOWLEDGEMENTS ……………………………………………………………………………… iii

LIST OF FIGURES ……………………………………………………………………………………. vii

PREFACE ……………………………………………………………………………………………….. ix

PROJECT FOCUS ………………………………………………………………………………………. 1

Project Statement ………………………………………………………………………………. 1

Research Objectives ……………………………………………………………………………. 2

Design Outcome …………………………………………………………………………………. 3

Methodology …………………………………………………………………………………….. 4

SECTION I : INTRODUCTION

HAWAII 2016 ………………………………………………………………………………………….. 8

A Changing Landscape …………………………………………………………………………. 8

Introduction to Puna …………………………………………………………………………. 10

SECTION II : SUSTAINABILITY SEMANTICS

DEFINING SUSTAINABILITY ……………………………………………………………………… 13

Rationalizing Sustainability ………………………………………………………………… 13

Sufficiency ……………………………………………………………………………………….. 14

Carrying Capacity ……………………………………………………………………………… 15

Ecological Footprint ………………………………………………………………………….. 16

Triple Bottom Line …………………………………………………………………………….. 17

Green Building Certification Programs ………………………………………………….. 18

Avoiding Sprawl ……………………………………………………………………………….. 19

Discussion ……………………………………………………………………………………….. 20

v

SECTION III : RESEARCH FINDINGS

A SUSTAINABLE HAWAIIAN MINDSET ……………………………………………………….. 22

Lōkahi …………………………………………………………………………………………….. 22

Transfering Knowledge ……………………………………………………………………… 25

TRADITIONAL HAWAIIAN LAND-USE …………………………………………………………. 28

Land Divisions ………………………………………………………………………………….. 28

Social Hierarchy ……………………………………………………………………………….. 30

Sufficiency Systems …………………………………………………………………………… 35

CHANGES IN LAND TENURE …………………………………………………………………….. 37

Colonization of Hawai`i ……………………………………………………………………… 37

Agriculture ………………………………………………………………………………………. 40

POLITICAL REFORMS ………………………………………………………………………………. 45

Repression of the Hawaiian Kingdom …………………………………………………… 45

Economic Development …………………………………………………………………….. 48

SOCIO-CULTURAL DYNAMICS ………………………………………………………………….. 51

Cultural Kīpuka …………………………………………………………………………………. 51

Changing Populations ………………………………………………………………………… 55

HAWAI`I’S UNIQUE ECOLOGIES ………………………………………………………………… 59

Native Species ………………………………………………………………………………….. 59

Pele’s Presence ………………………………………………………………………………… 60

Threats to Native Biota ……………………………………………………………………… 63

FUTURE PLANS FOR PUNA ………………………………………………………………………. 70

Hawai`i 2050 Sustainability Plan ………………………………………………………….. 70

Puna Community Development Plan ……………………………………………………. 71

Shipman Development Plan ……………………………………………………………….. 75

The Department of Hawaiian Home Lands ……………………………………………. 77

Existing DHHL Plan in Puna …………………………………………………………………. 78

Existing DHHL Land Designations …………………………………………………………. 80

vi

SECTION IV : RESEARCH

DISCUSSION

RESEARCH CONCLUSIONS ……………………………………………………………………….. 84

Effects to Sustainability ……………………………………………………………………… 85

Achieving Sustainability in the Future ………………………………………………….. 87

SECTION V : DESIGN EXPLORATION

DESIGN INTRODUCTION …………………………………………………………………………. 91

Maku`u Mauka ………………………………………………………………………………….. 91

Conceptual Design Goals ……………………………………………………………………… 92

CONCEPTUAL COMMUNITY DESIGN …………………………………………………………. 98

Land Re-Adjustment …………………………………………………………………………….. 98

Community Center ………………………………………………………………………………. 98

Natural Growth Corridor …………………………………………………………………….. 100

Suggested Planning Steps ……………………………………………………………………. 102

RESIDENTIAL CLUSTERS ………………………………………………………………………… 105

Kauhale Distribution ………………………………………………………………………….. 105

Residential Types ………………………………………………………………………………. 106

SINGLE FAMILY HOMES ………………………………………………………………………… 108

Overall Design Intent ………………………………………………………………………… 108

Intermodal Steel Building Units ………………………………………………………….. 111

Architectural Strategy ……………………………………………………………………….. 112

GLOSSARY OF TERMS …………………………………………………………………………… 119

SOURCES ……………………………………………………………………………………………. 121

vii

LIST OF FIGURES

FIGURE PAGE
Figure 1 : Roadblocks in rural Hawai`i ……………………………………………………………………………. 11

Figure 2 : Hawai`i Prep Academy Energy Lab1 ……………………………………………………………….. 18

Figure 3 : Lōkahi and the Triple Bottom Line ………………………………………………………………….. 23

Figure 4 : Social Structure of Land Management …………………………………………………………….. 31

Figure 5 : Typical Ahupua`a ………………………………………………………………………………………….. 32

Figure 6 : Moku O Hawai`i ……………………………………………………………………………………………. 33

Figure 7 : Ahupua`a O Puna

………………………………………………………………………………………….. 33

Figure 8 : Land Divisions

……………………………………………………………………………………………… 34

Figure 9 : Agricultural Products in Puna …………………………………………………………………………. 43

Figure 10 : 1906 Coulter Map ……………………………………………………………………………………….. 44

Figure 11 : 1930 Couter Map ………………………………………………………………………………………… 44

Figure 12 : Changing Population in Puna ……………………………………………………………………….. 53

Figure 13 : Puna Subdivisions ………………………………………………………………………………………. 54

Figure 14 : Subdivided Lots ………………………………………………………………………………………….. 54

Figure 15 : Lava Threat Zones ………………………………………………………………………………………. 62

Figure 15 : Fallen Albezia Branch ………………………………………………………………………………….. 66

Figure 17 : Fragmentation in Puna ………………………………………………………………………………… 67

Figure 18 Threatened and Endangered Plant Zones ……………………………………………………….. 68

Figure 19 : Conservation Zones …………………………………………………………………………………….. 69

Figure 20 : Hawai`i 2050 ………………………………………………………………………………………………. 71

Figure 21 : Biosphere Reserve Buffer zone …………………………………………………………………….. 73

Figure 22 : Village Centers ……………………………………………………………………………………………. 73

Figure 23 : Transporation Networks ………………………………………………………………………………. 74

Figure 24 : Existing DHHL Plan, Puna ……………………………………………………………………………. 79

Figure 25 : Maku`u Location Map ………………………………………………………………………………….. 89

Figure 25 : Area of Study ……………………………………………………………………………………………… 90

Figure 27 : Conceptual Community Plan ………………………………………………………………………… 96

Figure 28 : Protracted Kuleana Areas …………………………………………………………………………….. 97

viii

Figure 29 : Former Popoki Target Area ………………………………………………………………………….. 97

Figure 30 : Distance to Agricultural Plots ……………………………………………………………………….. 97

Figure 31 : Residential Cluster …………………………………………………………………………………….. 104

Figure 32 ………………………………………………………………………………………………………………….. 108

Figure 33 : Floor Plan …………………………………………………………………………………………………. 109

Figure 34 : Roof Construction …………………………………………………………………………………….. 110

Figure 35 ………………………………………………………………………………………………………………….. 115

Figure 36 ………………………………………………………………………………………………………………….. 115

Figure 37 : Atrium

……………………………………………………………………………………………………… 115

Figure 38 : Exterior Living Spaces

……………………………………………………………………………….. 116

Figure 39 : Exterior Views …………………………………………………………………………………………… 117

i

x

PREFACE

Sustainability is an ideology which has come to define the major architectural

movement today. The sustainability movement, just as the many

architectural movements preceding it, is a direct response to the pitfalls

seen in previous architectural periods, and the negative effects that society

perceived as a result. In this case, it was the stark realization that the built

environment and all its functions, as created by the architects and planners,

has become overbearing on its natural surroundings and threatens the

overall human standard of living.1 Essentially, the concept of sustainability is

a basic human instinct. It can primitively refer to basic human needs, such

as food, water, and shelter, but for architects and planners, it is important to

display a sensitivity to time and place when thinking about sustainability in

the communities they design. This includes the qualitative factors which can

create a healthy lifestyle, provide an adequate quality of life, and satisfy the

needs of human psyche. Although sustainability as a concept reaches

across many disciplines, architects and planners realize that they have a

particularly significant opportunity and role to play in this widespread social

movement.

Architecture at its roots is also an art, and is allegorical of culture and place.

It is possibly the greatest physical manifestation of how a society functions

and interacts with the environment and each other.2 The precedent set forth

by indigenous Hawaiians shows a society that was intrinsically and

intimately tied to sustainability. They demonstrated a precise approach to

managing land and its resources, with building and planning methods that

were totally responsive of, and equally as unique as, their natural

1 Ian L. McHarg, Design with Nature (Garden City, New York: Published for the American Museum

of Natural History [by] the Natural History Press, 1969).
2 Francis S Oda, “Architects, Keeper of the Culture Designing Within the Cultural Landscape,”

D.Arch thesis, University of Hawai`i at Mānoa, 2000.

x

environment. Their island lifestyle was completely self-sustaining, allowing

them to flourish on the most remote land masses in the world.

However, with modern society becoming integrally entwined in the

globalizing economy, capitalism has become the sole means of human

survival. With the top-down approach of the world economy, social, cultural,

ecological, and other seemingly “intangible” needs of average citizens seem

to be often sacrificed in order to maximize economic returns to private

investors. Any other method of making a living is often considered an

ʻalternative lifestyle’, including those which indigenous Hawaiians relied upon

for two millennia. The shift to capitalism in Hawai`i came quickly after its

relatively recent introduction to the ʻcivilized’ world. Subsequently,

architecture, planning, and development has become increasingly non-

conforming of its land, resources, and people. In response to Hawai`i’s

rapidly changing landscape, cost of living, and social dynamics, its residents

have recently started to proactively voice concerns regarding development

which they see as valuing economic gains above the needs of the people.

Architects and planners in Hawai`i today may find themselves at the center

of controversy of any highly politicized project, unless they adapt to truly

reflect the true needs and concerns of the communities they design in. They

must rise up and look past just sustainability, to the next yet to come

architectural movement. In Hawai`i, this may mean looking to the past…

1

PROJECT FOCUS

PROJECT STATEMENT

At the will of the global economy, Hawai`i’s natural landscapes have seen an

increasing trend towards top-down modernization. Planning and

development decisions in Hawai`i have been based primarily on short-term

advancement in world trade, leaving Hawai`i’s economy to become

dependent upon models of expansion and growth. As a result, Hawai`i cities

have made the transformation from rural to urbanized in a matter of decades

with no comprehensive or long-term planning. The same short-sighted

development patterns are now being seen in Hawai`i’s remaining rural areas,

which are now growing at much higher rates than its urban counterparts.3

This reveals the need for research which can help to develop alternative

architectural design strategies and be applied specifically to Hawai`i’s rural

regions.

This design-research project will address this gap in research and

investigate design practices which can enable self-sustaining communities in

rural Hawai`i. At the heart of this issue, drastic land changes have

subjugated Native Hawaiian cultural rights and identity, which are integrally

tied to the natural environment. However, this issue also affects residents of

Hawai`i in general, as indiscriminate development has consequently

escalated the cost of living, and affected the ability for the greater population

to maintain a sustainable lifestyle. This project aims to promote cultural

practices, both as an ethical move, and as a solution to help Hawai`i achieve

its long-term sustainability goals.

3 “State of Hawai`i, Department of Business, Economic Development and Tourism, Research and
Economic Analysis Division, Population and Economic Projections for the State of Hawaii to 2040, (DBEDT
2040 Series, 2012) 2-4.

2

RESEARCH OBJECTIVES

Define Sustainability
The term sustainability can be highly biased, and varies according to person

and place. Mainstream theories of sustainability will be examined in order to

extract the most relevant concepts and models. A list of terms will be

established to explain how sustainability will be defined and measured in this

project. This definition will be important in analyzing the research findings

and directing the design outcome of the project. These measurements can

also be used by communities to establish their own specific development

goals in the future.

Analyze Evolution of Land Use
From the time of western contact, long-established native landscapes have

drastically changed, and continue to do so. Historic changes in land use will

be investigated, focusing primarily on the Puna district, but also reflecting

events elsewhere, as relevant. The way that humans historically utilize land

will be analyzed, as well as the physical characteristics of the land itself,

such as rates of changing conditions and qualities of ecological functions.

Factors that influenced such land changes will also be investigated. This

research objective is important in establishing cause and effect factors of

sustainability, and will help to inform future design decisions. This objective

will be investigated in Section III : Research Findings.

Assess Effects of Changing Land Use
This project will assess the effects of the drastic changes in land, in regards

to its population’s well-being, and ability their ability to achieve sustainable

lifestyles. This will build upon the previous objective by drawing connections

3

between land use and it’s importance to human welfare. Socio-cultural

considerations will also be investigated, and parallels between cultural

mindsets, land use, and sustainability will be specifically identified. This

objective will be investigated in Section III : Research Findings.

Identify Implementation
Indigenous Hawaiians utilized all opportunities that the land presented to

them. Through creative thinking, they were able to refine their daily

practices to the reflect the most efficient and ecologically sensitive means of

living. As previously mentioned, the careful approaches that Hawaiians

developed over time will be a major precedent for this project. In the

modern context, however, populations, environments, and standards of

living have changed, and a total reversion to a pre-contact lifestyle would be

impractical. This project will identify the opportunities and constraints of

implementing cultural practices as a future planning approach. It will also

investigate other sustainable methods which are culturally sensitive.

DESIGN OUTCOME

In order to demonstrate the application of the aforementioned research

objectives, a conceptual design intervention will be explored. The Maku`u

Mauka tracts in Lower Puna will be used as a hypothetical design site, and

its owner, the Department of Hawaiian Home Lands, will be used as a

hypothetical client. The design strategies explored in the design phase will

respond directly to the conclusions drawn at the end of the research

investigation. It will build upon the project focus of cultivating self-sustaining

communities.

The design portion aims to present theoretical methodologies, rather than

definitive solutions or details. Maku`u Mauka will be used as a model to

exhibit conceptual architecture, land use, and planning principles. These

design principles are intended to also translate to other similar rural

4

communities. Some specific design strategies will be suggested, where

relevant, and will be appropriately stated.

METHODOLOGY

Primary Data Sources
Census data will be analyzed from sources such as U.S. Census Bureau and

the Hawai`i Department of Business & Economic Development. Data will be

used to find trends in land-use, development patterns, and demographic

information.

The Geographic Information System (GIS) database will be used to overlay

spatial information. This will enable spatial comparisons of factors such as

land-use patterns, demographic considerations, and ecological qualities.

Historic information from reliable scholarly research will be used to compile a

timeline of major social, cultural, and ecological changes, as discussed in

the research outcomes.

It is important to note that all references to traditional/pre-contact Hawai`i

within this investigation refer to the time period just before western contact

in 1778, unless otherwise noted. The ancient Hawaiian civilization is often

classified into 5 time periods between the first century AD, and western

contact in 17784, and it is the latest period where Hawaiian culture was

arguable at its peak of sophistication and ability sustain itself.

4 McGregor, Davianna Pōmaika`i. “An Introduction to the Hoa`āina and Their Rights.” The
Hawaiian Journal of History 30 (1996): 3-8.

5

I n v e s t i g a t i v e P r o c e s s

SECTION I : INTRODUCTION

Section I will discuss the current context of architecture, land-use, and

planning in Hawai`i. It will elucidate both the initial rationale, and the

intended significance for conducting the research in this project. It will

also give a brief introduction to the district of Puna, on the Big Island of

Hawai`i, where this project will focus its research on.

SECTION II : SUSTAINABILITY SEMANTICS

Section II will explore literature regarding sustainable design and

development. The aim of this section is to formulate a definition of

sustainability which can be used by this project to analyze land-use and

planning. It can also be used by communities to establish specific

development goals in the future, which will be demonstrated in Section V

of this project.

SECTION III : RESEARCH INVESTIGATION

Section III presents the Research Findings. The investigation will

compile a comprehensive timeline of land-use in Puna. Major historical

changes in land-use will be investigated, as well as the events which led

to these changes. The measurements of sustainability, as defined in

Section II, will be used to direct research and draw conclusions which

address the discussed project objectives.

SECTION IV : RESEARCH DISCUSSION

Section IV will draw conclusions on the research investigation and

discuss how research objectives were reached. This section will outline

the major findings of the research investigation which will be used to

inform the design in Section V of this project. Specific opportunities and

difficulties for design implementation will be also be discussed.

6

SECTION V : DESIGN EXPLORATION

Section V will address the conclusions discussed in Section IV and

provide a specific example of how major issues can be resolved through

design. Suggested design principles which were not included in the

conceptual plan will be discussed. Site specific data will also be

collected, as necessary.

7

SECTION I
INTRODUCTION

8

HAWAII 20

16

“It was an accident that Hawai`i was the last important pacific island group to be
discovered by voyagers from the outer world; but it was no accident that Hawaii,

because of its strategic position, was the first to achieve modernity. Only through
a study of the past can we hope to image what the future may be and it is believed

that a reading of Hawaii’s eventful history will give many clues to the future of
America’s role in the pacific era.”

-Ralph S. Kuykendall & A. Grove Day5, 19

48

A CHANGING LANDSCAPE

Since Hawai`i’s introduction to the ‘civilized’ world, its has become iconic on

a global level, and romanticized as an idealized paradise. The beauty of this

natural landscape continues to be one of it’s most ironic features, as it also

has created huge demands in housing, tourism, and development. As more

subdivisions, resorts, and highways are created to accommodate the

economic sectors which Hawai`i relies on, more of this natural beauty is

compromised.

While developers attempt to capitalize on the huge demands, much of the

western modernization favors wealthy out of state stakeholders. Between

the years 2008-2014, mainland and foreign buyers spent $152,201(31.8%)

and $307,415 (64.3%) more on average than local buyers, respectively.6

Not surprisingly, this has caused housing prices statewide to spike.

5 Ralph Simpson Kuykendall and Arthur Grove. Day, Hawaii: A History from Polynesian Kingdom to

American State, Revised Edition (Englewood Cliffs: N.J., 1962) v.
6 State of Hawai�i, Department of Business, Economic Development and Tourism, Research and

Economic Analysis Division, Residential Home Sales in Hawaii, 2015.

9

Populations continue to rise with as out-of state developers overlook the

increasingly complex social issues fueled by continuous development

pressures. In 2014, median sales prices reached a record high of $730,000,

while median rental prices topped the nation at $1,448.7 With a lucrative

housing market, attention from the state overshadows other important social

issues of traffic, homelessness, and overall cost of living. With a quickly

inflating cost of living and changing social dynamics, many Hawai`i families

have recently chosen to leave for the mainland.8

This is of meaningful concern to the Native Hawaiian population, whose

cultural identity is tied to place and natural environments. As a civilization

which flourished on a remote archipelago, many things can be distilled by

examining the way of life that Hawaiians formulated. Traditional practices

can provide a relevant backbone for development decisions. It has potential

to enhance community identity and sense of place, as a time tested method

of sustainable living. However, the perpetual cost inflation and economic

driven land development has endangered their cultural rights and practices.

Projects such as the Kaka`ako revitalization and West O`ahu development

projects, including Ho`opili, have at times become the topic of large debate

for the apparent threats they pose to sustainability and cultural interests.

This has recently begun to strengthen the public’s awareness to the fact that

there is a need to re-evaluate the general development paradigm which

Hawai`i now follows. This creates difficult planning paradigm, where

designers must balance social, cultural, economic needs, which have

already been severely affected, while also creating economic income

through sustainable methods. However,

7 Mary Vorsino, “No End in Sight to Rising Housing Prices, Experts Say,” Hawaii News Now,
November 3, 2015. Accessed October 1, 2015. http://www.hawaiinewsnow.com/story/30429011/no-end-
in-sight-to-rising-housing-prices-experts-say.

8 Mileka Lincoln, “Priced out of Paradise: When the Cost of Living Gets Too High, Some Hawaii
Families Call It Quits,” Hawaii News Now, November 12, 2015. Accessed December 5, 2015.
http://www.hawaiinewsnow.com/story/30507152/priced-out-of-paradise-many-local-families-move-to-us-
mainland-for-more-affordable-living.

10

INTRODUCTION TO PUNA

Rural Hawaiʻi regions show enormous potential to achieve sustainable

objectives. But this can only if proactive measures in architecture and

planning are made now. Despite a worldwide trend toward urbanization, 9

Hawai`i’s rural areas are developing quicker than Honolulu, leaving rural

counties on the precipice of impending urbanization.

The rural Puna District, on Hawai`i island has steadily been growing at a rate

of 15% every 5 years, and is expected to reach 58,246 people by 2020,

making it the most populated district on Big Island. 10 These growth rates

outpace Honolulu’s threefold, and have caused a retrospective approach to

planning.

Complicated social issues, such as high poverty rates, high crime rates, and

sparsely distributed homes make planning in Puna a unique challenge.

Much of Puna’s population is also put at risk to being isolated from the rest

of the island, as the lower Puna region is connected by only one traffic

corridor. This makes self-sufficiency in this region especially important, as

utilities and resources currently rely on the limited access to the rest of the

island.

The 500 square miles Puna’s landscape is naturally covered with lush native

rainforests, and hosts many endemic species found no where else on earth.

This includes Wao Kele O Puna, a nature reserve, and the last remaining

lowland rainforest in the United States. Wao Kele O Puna also serves as an

9 Karen C. Seto , Roberto Sanchez-Rodriguez, and Michail Fragkias, “The New Geography of

Contemporary Urbanization and the Environment,” ed. A. Gadgil and DM Liverman, Annual Review of
Environment and Resources 35 (2010): 167-94, accessed April 2015.
10

“Projection of Resident Population by District, Hawai`i County : 2000 to 2020” (Hawai`i County
Census Data Base, 2006).

11

important ecological and cultural resource. If properly respected and cared

for, such natural resources could provide the means of sustainable living in

rural communities.

The unique challenges and landscape in rural Hawai`i regions, such as those

seen in Puna, requires an equally unique planning approach. Future

planning must carefully use the resources provided to them to achieve an

equitable and sustainable future.

Figure 1 : Roadblocks in rural Hawai`i

Fallen Albezia trees and branches block the route near Lava Tree Park. Source:
Author

12

SECTION II
SUSTAINABILITY SEMANTICS

13

DEFINING SUSTAINABILITY

Sustainability, and all its related aspects, encompass many interpretations,

and have taken on very preconceived and loaded concepts. Sustainability

has become an all-encompassing catchword, largely utilized as a public-

relations strategy and marketing tool. There are many buzzwords that can

be associated with it, but these terms may also need to be examined for

their true meaning. Many associate it with climate change issues and

alternative energies, but what does it mean in today’s society? According to

the Merriam-Webster dictionary, sustainability is defined as something that is

“able to be used without being completely used up or destroyed”. This may

seem like a generally agreeable statement to apply to land-use issues, but it

still leaves much room for interpretation. Even when narrowed to the

disciplines of architecture and planning, it is a multifaceted and subjective

concept.

RATIONALIZING SUSTAINABILITY

In 1987, Gro Harlem Brundtland, the Norwegian Prime Minister at the time,

made the first known attempt at defining the term sustainability, as it applies

to humans, and society. In that year, In her research report titled Our

Common Future, she defines sustainable development as “development that

meets the needs of the present without compromising the ability of future

generations to meet their own needs.”11 The document, which has since

then has also largely been referred to as The Brundtland Report, discusses

conserving environmental resources to be an important factor in economic

growth, relieving poverty, and overall healthy human progression. The report

does not act to point blame in any direction, nor does it go into possible

solutions for the observed environmental degradation. Rather, it serves to

11 Gro Harlem Brundtland, “Our Common Future” (report by the World Commission on
Environment and Development, Oslo, Norway, March 20, 1987).

14

commence an open-ended conversation, and call for action for what has

become a very widely publicized topic since its release. The definition given

by The Brundtland Report is also a very general one, leaving the task of

interpretation to localized planning officials.

The movement leading to environmentalism and sustainability largely

stemmed from the theories of prominent landscape architect Ian McHarg, in

his book Design With Nature. McHarg observed that the field of planning

was totally separate with the fields of geology, and physical sciences, and

that the interplay between humans activities and the natural environment

were completely overlooked.12

Sustainable communities must first realize what sustainability means to

them, their own sustainable needs, and how to achieve them. The goal of

this literature review is to clearly define sustainability. This will be achieved

by researching theories regarding sustainability and extracting the concepts

which define how to measure sustainability. These concepts and terms will

be used as an assessment tool for architecture and planning in the

subsequent sections of this investigation. In order to classify sustainability in

Hawai`i context, the term itself may need to be replaced.

SUFFICIENCY

One of the most basic ways to understanding sustainability is to refer to the

term sufficiency. Sufficiency, sometimes also referenced as self-sufficiency,

is the most basic and understood function of sustainability. According to the

Merriam-Webster dictionary, the definition of sufficiency is “to meet one’s

needs” or “a modest but adequate scale of living”. This usually refers to the

ability to acquire necessary goods for humans to survive, as provided by the

earth. According to Thomas Princen, Ph.D and Professor of Natural

12 Ian L. McHarg, Design with Nature (Garden City, New York: Published for the American Museum
of Natural History [by] the Natural History Press, 1969).

15

Resources and Environment, sufficiency underscores the understanding that

avoiding over-consumption is a necessary variable in being self-sufficient.13

However, sufficiency can be seen as a subjective definition, as the standard

of living and idea of overconsumption can vary greatly from person to

person, even amongst those within the same community.

CARRYING CAPACITY

Carrying capacity is a crucial concept to consider in measuring sustainability,

and is one way to quantify the concept of sufficiency. It adds to the

definition of sufficiency, defining the variables what goods are being

acquired, and who is acquire the goods. Carrying capacity is defined as the

maximum population of a species which a given area of land can support

indefinitely.14 The understanding that the resources used by the given

population does not cause major changes to the ecological functions is

therefore inherent to the term. Traditionally, carrying capacity applied to

animals in studies of natural sciences. However, it is a term that has

become increasingly discussed in planning, as most developed regions are

seen to be living beyond their carrying capacity.15

Joel E. Cohen states that measuring carrying capacity in a given areas is a

complex idea, and a single absolute number can never be concluded on.

Similar to the concept of sustainability, people have many different ideas of

what carrying capacity is, and calculating carrying capacity is both dynamic

13 Thomas Princen, The Logic of Sufficiency (Cambridge, MA: MIT Press, 2005), 1-14.

14 Ann Dale, At the Edge: Sustainable Development in the 21st Century (Vancouver: The UBC
Press, 2001), 176.

15 Mathis Wackernagel, Niels B. Schulz, Diana Deumling, Alejandro Callejas Linares, Martin Jenkins,
Valerie Kapos, Chad Monfreda et al, “Tracking the ecological overshoot of the human
economy,” Proceedings of the national Academy of Sciences 99, no. 14 (2002): 9266-9271.

16

and depends on different cultural standards of living.16 While Cohen

suggests that carrying capacity should be quantified by many

considerations, others argue that there is a single determining factor, such

as Russell Hopfenberg, who argues that the population is dependent on the

availability of food.17 However Hopfenberg also alludes to the fact that the

availability of food is also dependent on a number of other variables such as

available water resources, soil composition, and type of crop being grown.

Because human needs also incorporate qualitative factors as standards of

living, a theoretical approach can also be taken to examining carrying

capacity. It can be expanded to include factors such as cultural, political,

and other sociological needs.18 In order to formulate an appropriate

carrying capacity for a community, these variables must also be considered.

ECOLOGICAL FOOTPRINT

Sufficiency can be further expanded upon by the term ecological footprint.

An ecological footprint is also directly related to carrying capacity. It is the

measure of land that is required in order to sufficiently provide all necessary

resources for a person to live. Paul and Anne Ehrlich describe that an

ecological footprint, referred to here as impact (I), is a function of the

population (P) multiplied by sufficiency, referred to here as per capita

consumption (F). However, it should be noted that per capita consumption

today exceeds the bounds of sufficiency. This means that an increase in

either population or per capita consumption, or both, will result in a higher

16 Cohen, Joel E, “Population Growth and Earth’s Human Carrying Capacity,” Science 269, no. 52

22

(1995): 341-46. Accessed April 17, 2015,
http://www.econ.yale.edu/~nordhaus/homepage/documents/CohenScience_carrying_cap_001 .

17 Hopfenberg, Russell, “Human Carrying Capacity Is Determined By Food Availability,” Population
and Environment 25, no. 2 (2003): 109-17.

18 Ann Dale, At the Edge: Sustainable Development in the 21st Century (Vancouver: The UBC
Press, 2001), 180.

17

impact on the environment.19 While this concept may seem relatively

straightforward, it is still largely ignored. This means that in order to lower

our impact, we must either lower our population, or our per capita

consumption. Ehrlich also discusses the idea of technology as a way to

decrease the effect of per capita consumption. In theory, this seems like a

logical idea. However, L.M. Rees argues that technology and trade has

actually proven to increase our consumption rates. The convenience

provided through technological efficiency and global trade, have caused

false notions of surplus, leading humans to become unaware of their actual

impact on the environment. The ability to obtain foreign goods at low costs

no longer requires environmental consideration at the local level, and a

mindset that our and carrying capacity can be endlessly increased has been

adopted.20 Increasing the population of an area must not make it exceed its

carrying capacity. If this happens, one of two things must take place; either

the per capita impact must decrease, or the population must decrease.

TRIPLE BOTTOM LINE

Kenny and Meadowcroft discuss a paradigm shift in the complex term

sustainability, arguing it does not only “consider everything in relation to

nature”21, as widely viewed by the public. Today, sustainability takes on a

much more holistic approach, which also considers balancing ecological

concerns with social and economic aspects. This idea is widely known as

the triple-bottom line approach. The triple bottom-line was first explored by

renown economist John Elkington, who realized that the social bottom-line is

dependent on the financial bottom-line, and that likewise, the financial

19 Paul R. Ehrlich and Anne H. Ehrlich, Population Resources Environment: Issues in Human
Ecology (San Francisco, CA.: W.H. Freeman, 1970), 259.

20 William E. Rees, “Revisiting Carrying Capacity: Area-based Indicators Of
Sustainability,” Population and Environment 17, no. 3 (1996): 195-215.

21 Michael Kenny and James Meadowcroft, eds, Planning Sustainability (London: Routledge, 1999),
4.

18

bottom-line is dependent greatly on the environmental bottom-line.22 Saha

and Paterson, who refer to this approach as ‘the three E’s,23 also examine

multiple case studies on how governments have attempted to classify

development issues in relation to the three E’s. The ‘triple bottom line’, or

‘three E’s’ approach is a holistic and multi-disciplinary way of measuring

sustainability. These three factors have become the bottom line of human

survival, and new measure of carrying capacity

GREEN BUILDING CERTIFICATION PROGRAMS

Green have been It may be influential in gaining awareness and recognition.

L.E.E.D and the Living Community Challenge initiatives claim that their

certification programs constitute the “greenest” building standards. They

provide good benchmark indicators and provide a platform to promote,

share and progress sustainable mindsets. Such certification programs, by

no means, automatically render buildings sustainable, and there are many

criticisms. However, a unique approach to these certification programs, as

made possible by Hawai`i’s unique conditions, could bring unforeseen

recognition worldwide.

22 John Elkington, Cannibals with Forks, The Triple Bottom Line of 21st Century Business (Gabriola
Island, Canada: New Society Publishers, 1998), 69-96.

23 Saha, Devashree, and Robert Paterson. “Local Government Efforts to Promote the “Three Es” of
Sustainable Development: Survey in Medium to Large Cities in the United States.” Journal of Planning
Education and Research 28, no. 21 (2008): 21-37. Accessed January 14, 2015. http://jpe.sagepub.com/.

Figure 2 : Hawai`i Prep Academy Energy Lab1

“Hawai`i Prep Academy Energy Lab” Living Building Challenge, last modified 2015,
http://living-future.org/case-study/hpaenergylab.

19

AVOIDING SPRAWL

Sprawl is the embodiment of the American culture of consumerism and

excess, and is often perceived to be the ultimate adversary to sustainable

land-use. It is one of the most widely recognized land-use problems, most

certainly by those in the planning and architecture fields, but also amongst

some members of the general public. As defined by Delores Hayden, sprawl

is unplanned, unregulated, careless development which takes over land and

resources. According to Hayden, sprawl is not only “environmentally

unsustainable and fiscally shortsighted”, but it also is “socially destructive”.24

It is primarily driven by construction, banking, real estate industries seeking

quick economic gains and completely negates social and environmental

concerns.

4 Causes of Sprawl
According to Delores Hayden, the government actually helps to encourage

sprawl through housing and development subsidies. There are four

government programs which are widely seen to naturally advancing sprawl.

These government issued subsidies are aimed at boosting construction jobs

and developing raw land.25

1. The first is Federal Housing Administration (FHA) insurance for mortgages
2. The second is Federal income tax deductions for home mortgage interest,

points, and property taxes
3. Third is federal corporate tax deductions called accelerated depreciation for

Greenfield commercial real estate
4. Fourth is federal funding for highways

While sprawl suggests an indiscriminate and unplanned explosion of growth,

there have been several distinct planning models that recognize the

importance of creating limits and bounds for development.

24 Dolores Hayden, A Field Guide to Sprawl (New York: W.W. Norton & Company, 2004), 7-10.

25 Ibid, 7-10.

20

DISCUSSION

With the continually expanding concept of sustainability, new policies and

approaches are being explored by designers and policy makers. The

literature review conducted shows that there is no single definition of

sustainability. It is also not a single fixed goal or target achievement.

Rather, sustainability is a measurement of multiple varying concepts, whose

standards can be highly subjective, and therefore should be further defined

by communities to formulate specific development goals. The concepts

reviewed in the literature review have accomplished the objective of defining

what factors make up sustainability. Each community will need to further

define what these factors mean to them. There will undoubtedly be

differences in opinions, and trade-offs will be unavoidable. The complex

task in achieving sustainability expands the traditional role of architect and

planner, who must now consider many more layers of how their work

impacts society and how architecture takes on a larger role in its

surroundings.

21

SECTION III
RESEARCH FINDINGS

22

A SUSTAINABLE HAWAIIAN MINDSET

“To be a state of pono is to invoke the path of ancestral
understanding, which is achieved only by being willing to

be open to the source of ancestral knowledge. An
individual must place their trust in the guide of ancestral

knowledge for it will reveal understanding never
comprehended in sole intellectual pursuits.”

-Mark Kāwika McKeague,26 2005

The Hawaiian Islands, collectively, are the most isolated land masses in the

world. A total awareness of this isolation allowed Native Hawaiian settlers to

flourish for centuries. As the Hawaiian civilization progressed over time, they

were guided by an absolute awareness that a continued existence on remote

islands with limited resources was dependent on their respect and

stewardship of the land that supported them. The Native Hawaiian

inhabitants developed a unique lifestyle where daily practices symbiotically

responded to their natural surroundings. Examining these mindsets reveal

an intrinsic culture of sustainability and the ability to thrive within their own

microcosm.

LŌKAHI

The concept of lōkahi shows the intimate connection that Hawaiians felt with

the land and natural surroundings, and the role they believed they played

within everything of the known universe, physical and spiritual. In order for

the world to be in a state of lōkahi, all things in existence must be

26 McKeague, Mark Kāwika, “I Loko o Nā Kipona o Ke Kuli: The Accession Beyond Legal
Boundaries” (Department of Urban and Regional Planning Area of Concentration Paper,
University of Hawai`i at Mānoa, 2005), 2-6.

23

harmoniously balanced, with kanaka (man), akua (natural gods), and `āina

(land/nature) forming the cornerstones of the universe.

27

To Hawaiians, a continual existence on the islands could only be achieved

through an equitable and intertwined connection of kanaka, akua, and `āina.

This frame of mind gives similar understanding to that of the triple bottom line approach. Both

viewpoints realize that man is not separate of earth or its functions, but integrally connected,
and plays a vital role in the cycling of energy. It is also understood that man must strive to

play a balanced part in this universal continuum. (See Figure 3 : Lōkahi and the Triple Bottom
Line

Source: Author)

27 George S. Kanahele, Kū Kanaka, Stand Tall: A Search for Hawaiian Values (Honolulu, HI:
University of Hawaii Press, 1986), 152-55.

Figure 3 : Lōkahi and the Triple Bottom Line

Source: Author

24

Akua
Existential values of Hawaiian culture were manifested through the extensive

ancestral beliefs that were developed through time. Hawaiian beliefs and

rituals reflected their brilliance in understanding the environment and allowed

them to make climatic and ecological connections that transcend many

modern-day scientific studies. Natural elements, from physical plant and

animals, to climatic behaviors including wind and rains, were believed to be

embodiments of ancestral gods. When gods were manifested in these

physical forms, they were referred to as kinolau,28 and were viewed as

spiritual guides that were provided to kanaka for subsistence in everyday

life. Not only was this a way to comprehend the precise observations of the

environment, but it was also a way to instill the information for future

generations. Professor of ethnic studies and historian of Hawai`i and the

Pacific, Davianna Pōmaika`i McGregor, describes the intimate connection of

Hawaiians to the life forces of nature. Ancestral akua were cherished

through mythologies and their important values were thereby eternalized for

future generations.29 The continued presence of akua allowed Hawaiians to

be guided by ancestral knowledge encoded within their stories.

`Āina
Today, `āina is usually roughly translated as land, but this is a simplified

meaning which undermines the relationship that Hawaiians had to the land

and its resources. Hawaiians were a resource based economy. They did

not have any monetary or capitalist system, and relied on the `āina to provide

means of living. When the term `āina is broken down, its true significance is

28 E. S. Craighill Handy, Elizabeth Green Handy, and Mary Kawena Pukui, Native Planters in Old
Hawaii: Their Life, Lore, and Environment (Honolulu: Bishop Museum Press, 1972), 23.

29 Davianna Pōmaika`I McGregor, Nā Kua’āina Living Hawaiian Culture, (Honolulu: University of
Hawai’i Press, 2007), 12-14.

25

revealed. ` Āi meaning to feed, with the nominalizing suffix na,30 reveals the

translation as that which feeds. Practices of mālama`āina (care for the land),

and aloha `āina (love, respect, for the land) are close translations to interpret

the traditional understanding that Hawaiians viewed of `āina as their source

of sustenance and survival. As understood by Hawaiians, the land is, in

itself, an entity, and was not owned but communal.31 The disconnection

Hawaiians to their ancestral lands can also cause a disconnect of cultural

identity, and therefore, a loss of ancestral knowledge. Edward L.K. Kanahele

explains the important relationship that Native Hawaiians feel toward their

land. He describes a ‘spiritual wisdom’ that gives an innate sense of identity

to Native Hawaiians, but can only be felt with a close relationship of land and

place.32

TRANSFERING KNOWLEDGE

Mana
Mana, or spiritual energy, is what bounded the intimate connection between

akua, kanaka, and `āina. It was believed that everything possessed and

emanated mana , a common belief throughout many Polynesian cultures.

When Hawaiians chose a term to translate religion into the context of

western understanding, they chose the word ho`omana (which literally

translates to possessing mana,) 33 showing the understanding that their akua

(the gods which formed their religion) transferred energy and ancestral

knowledge to them. Mark Kāwika McKeague discusses the importance of

30 E. S. Craighill Handy, Elizabeth Green Handy, and Mary Kawena Pukui, Native Planters in Old
Hawaii: Their Life, Lore, and Environment (Honolulu: Bishop Museum Press, 1972), 18.

31 Marion Kelly, “Land Tenure in Hawai`i,” Amerasia 7, no. 2 (1980) : 57-73.

32 Edward Kanahele, “Foreword” in Ancient Sites of O`ahu : A Guide to Hawaiian Archaeological
Places of Interest., Marion Kelly (Honolulu: Bishop Museum Press, 1991).

33 George S. Kanahele, Kū Kanaka, Stand Tall: A Search for Hawaiian Values (Honolulu, HI:
University of Hawaii Press, 1986), 155-9.

26

the continuation of mana and the cycling of ancestral knowledge carried by

it. The proper burial of `iwi underscores the concept of ultimate cycling of

energy. Although the body may return back to the earth, the ` iwi will remain

and the mana it possess will stay forever as a guide for ancestral direction

for future generations.34 The same is true for all aspects of the `āina and

akua. A disconnection of Hawaiians from their land also means a

disconnection from the mana of their akua, and the ancestral knowledge

therein possessed.35

Oral traditions
Because Hawaiians were an oral based culture, place names and terms were

given for important characteristics, and revealed a significance in their use

and meaning. However, many important place names are no longer used,

and many Hawaiian terms now translate to cater to American ideals. One

significant example is the understanding of the importance of wai, or fresh

water to their society’s survival. Traditionally, to express fortune, they used

the term waiwai. Settlements with the most access to fresh water were

considered waiwai, the closest translation wealth possessed by Hawaiians.36

However, today, it is often translated as capital and economic wealth. The

value of water fresh water that waiwai implies no longer are considered

significant. Such changes in language are symbolic of the changes seen in

the Hawaiian Islands today, from a society which carefully intertwined within

the natural world to ensure a self-sustaining existence, to one based on

34 McKeague, Mark Kāwika, “I Loko o Nā Kipona o Ke Kuli: The Accession Beyond Legal Boundaries”
(Department of Urban and Regional Planning Area of Concentration Paper, University of Hawai`i at Mānoa,
2005), 2-9.

35 Edward Kanahele, “Foreword” in Ancient Sites of O`ahu : A Guide to Hawaiian Archaeological
Places of Interest., Marion Kelly (Honolulu: Bishop Museum Press, 1991).

36 Handy, E. S. Craighill. The Hawaiian Planter Volume I: His Plants, Methods and Areas of
Cultivation. (Millwood, NY: Kraus Reprint, 1985), 128.

Reprinted with permission of the original Publisher. Originally published: Honolulu, Hawaii : Bernice P
Bishop Museum, 1940. (Bernice P. Bishop Museum bulletin ; 161)

27

capitalism, expansion, and an indiscriminate approach to living within the

land.

Mo`olelo
Hawaiians developed as an oral based civilization.37 Similar to other oral

based cultures, histories, knowledge, and conventional wisdom were passed

through generations by mythologies and divine beliefs, referred to by

Hawaiians as mo`olelo. Most mo`olelo were specifically place-based. Within

them, lessons, values, and traditions were encoded and perpetuated the

importance of maintaining cultural practices and traditions. Through

mo`olelo, the values of Hawaiian culture were passed on to future

generations. As George Hu`eu Sanford Kanahele so elegantly states:

“The language of myth is wrapped in metaphors, poetic
images, similies, allegories, word play, or kaona–symbolism

that can convey the mystical experience through what we
might call its ‘subliminal reach,’ that is, its ability to tap the

subconscious faculty of understanding.”

38

37 David Malo, Hawaiian Antiquities (Moolelo Hawaii), 2d ed. Honolulu, Hawaii: Bishop

Museum Press, 1951, 1-4.
38 Edward Kanahele, “Foreword” in Ancient Sites of O`ahu : A Guide to Hawaiian Archaeological
Places of Interest., Marion Kelly (Honolulu: Bishop Museum Press, 1991).

28

TRADITIONAL HAWAIIAN LAND-USE

LAND DIVISIONS

Ahupua`a and Carrying Capacity
The ahupua`a is commonly referred to as the most important land division

within the Hawaiian land settlement patterns.39 The ahupua`a divisions were

the significant measurements to allocate resources and political oversight.

Taxes were also collected at the ahupua`a level. The ahupua`a land

divisions, and the social hierarchy which developed from it, was a way to

ensure that the populations were living within their carrying capacity. It was

intended that within each ahupua`a the population had the ability to

independently function and survive off the resources within it.

Within a defined ahupua`a, it was essential that there was an adequate water

source for drinking and cultivating food, as well as the basic living needs for

the population of the area to manage a reasonable living, such cultivars for

crafts, clothing, structures, and utilities.40 (See Figure 5 : Typical Ahupua`a)

There is some evidence of trade for items including vegetables, tapa, and

other various needs not available within Puna.

41

39 E. S. Craighill Handy, Elizabeth Green Handy, and Mary Kawena Pukui, Native Planters in Old
Hawaii: Their Life, Lore, and Environment (Honolulu: Bishop Museum Press, 1972), 46-50.

Kepā Maly, “He Mo`olelo `Āina: A Cultural Study of the Pu`u Maka`ala Natural Area Reserve
Districts of Hilo and Puna, Island of Hawai`i” (Cultural Assessment Study, Hilo Hawai`i, 2004), 6.

40 Samuel Manaiakalani Kamakau, The Works of the People of Old : Na Hana a Ka Po’e Kahiko
(Honolulu, Hawaii: Bishop Museum Press, 1976), 6-7.
E. S. Craighill Handy, Elizabeth Green Handy, and Mary Kawena Pukui, Native Planters in Old
Hawaii: Their Life, Lore, and Environment (Honolulu: Bishop Museum Press, 1972), 48-9.

Davianna Pōmaika`I McGregor, “An Introduction to the Hoa`āina and Their Rights,” The Hawaiian

Journal of History 30 (1996): 6.

29

Although water was an important characteristic to contain within a typical

ahupua`a, not all had running streams of water features. The ahupua`a found

within Puna were such an example. The only ahupua`a with a significant

stream was the Kea`au ahupua`a. However, the ample rainfall throughout

the rest of Puna allowed for sufficient cultivation nevertheless.

It is also interesting that early records show that āina was sometimes used

interchangeably with the term ahupua`a.42 In this context, the true meaning

of `āina ,as that which feeds and devours43, takes on a very specific

meaning, and not one that is generalized with the entire understanding of

land itself. Each ahupua`a, when transplanted with the term `āina, was

understood to have a very place-based meaning of providing and giving

back.

42 Robert J. Hommon, The Ancient Hawaiian State (New York, NY: Oxford University Press, 2013),
13.
43 McKeague, Mark Kāwika, “I Loko o Nā Kipona o Ke Kuli: The Accession Beyond Legal Boundaries”
(Department of Urban and Regional Planning Area of Concentration Paper, University of Hawai`i at Mānoa,
2005), 2-2.

30

SOCIAL HIERARCHY

The Hawaiian method of land divisions and settlement patterns were

fundamental in managing the resources within the land, allowing ruling chiefs

to carefully distribute the. The Hawaiian land division system and ahupua`a

were able to function only in conjunction with the social hierarchy that

accompanied it. Working in conjunction, the land divisions and political

oversight ensured that all populations within Hawaiian society were

sufficiently appropriated resources, and living within their carrying capacity.

Although political power was distributed through a pyramidal-like structure,

the approach was not one that was considered top-down. Instead,

members at the “top” of the hierarchy also relied upon a careful monitoring

of those who were at the “bottom”. (See Figure 4 : Social Structure of Land

Management)

Mō`ī and Ali`i
Each major land division, usually mokupuni, or major Hawaiian island, was

managed by a single and absolute king, or Mō`ī. The Mō`ī was to carry out

the will of the akua, and was believed be a descendant of akua himself. He

was responsible for making all major decisions that affected the well-being

of his mokupuni, including food production, warfare, taxes, and religious

duties.44 He also appointed ali`i or chiefs, allocating management through

the subsequent levels of the land division system to ensure proper oversight.

Konohiki and Maka`āinana
The konohiki were the class of ali`i who were responsible for overseeing work

and resources at the ahupua`a level. They worked directly with the

maka`āinana, or commoners, who did the physical labor of cultivating the

44 David Malo, Hawaiian Antiquities (Moolelo Hawaii). 2d edition, (Honolulu, Hawaii: Bishop
Museum Press, 1951), 52-54.

31

land. Konohiki were not necessarily from the ahupua`a to which they

appointed by the Mō`ī, and were expected to be fair and equitable in the

overseeing maka`āinana45 Maka`āinana were afforded the peace of mind

that they would be provided all necessary resources to live, including food,

animals and clothing, as long as they contributed to the work of the land. 46

Figure 4 : Social Structure of Land Management

45 Donald D. Kilolani Mitchell, Resource Units in Hawaiian Culture, (Honolulu, HI: Kamehameha

Schools Press, 1992) 250-260.
46 David Malo, Hawaiian Antiquities (Moolelo Hawaii). 2d ed. (Honolulu, Hawaii: Bishop Museum

Press, 1951), 63.

Lilikalā Kame’eleihiwa, Native Land and Foreign Desires: Ko Hawaiʻi ʻāina a Me Nā Koi Pu�umake a
Ka Po�e Haole (Honolulu: Bishop Museum Press, 1992).

32

Figure 5 : Typical Ahupua`a

Luciano Minerbi, “Indigenous Management Models and Protection of the Ahupua`a,”
Social Process in Hawai`i 39 (199): 208-25.

33

Figure 6 : Moku O Hawai`i

Figure 7 : Ahupua`a O Puna

34

Summary of Major Land Divisions

Sources: David Malo, Hawaiian Antiquities (Moolelo Hawaii). 2d ed. (Honolulu, Hawaii: Bishop Museum Press, 1951).
Samuel Manaiakalani Kamakau, The Works of the People of Old : Na Hana a Ka Po’e Kahiko (Honolulu,

Hawaii: Bishop Museum Press, 1976), 6-8.
Jon M. Dyke, Who Owns the Crown Lands of Hawaii? (Honolulu, HI: University of Hawaii Press, 2008), 13.

Robert J. Hommon, The Ancient Hawaiian State (New York, NY: Oxford University Press, 2013), 13-22..
Davianna Pōmaika`I McGregor, Nā Kua’āina Living Hawaiian Culture, (Honolulu: University of Hawai’i Press,

2007), 15-28.

Figure 8 : Land Divisions

35

SUFFICIENCY SYSTEMS

Applying Mindsets to Sufficiency
The first ancient settlers to Hawai`i arrived at around the first century A.D.,

and were supplied only with what they could carry on double hulled canoes,

which sustained them for month-long voyages from Tahiti.

As they began to inhabit the Hawaiian Islands, they applied their

understanding of their universe, planting the seeds of their knowledge on

cosmology, climatology, and ecology, the roots of their culture and beliefs.

By the time the first European sailors arrived, the complex yet efficient use of

land was noted. Captain Cook himself praised the Hawaiians for their

sophistication and ingenuity shown in agricultural practices, even in

comparison to other indigenous island nations he had previously witnessed

and closely observed.47 It is also noteworthy that Puna was once thought to

have been, at one time, “Hawai`i’s richest agricultural region”.48

Canoe Plants
For Hawaiians, life revolved around food cultivation, subsistence practices

gave way to a masterful approach to sufficiently supply the populations. The

early settlers who voyaged to Hawai`i did not come unplanned. Since there

were very little natural food sources, they began to carry with them on their

voyages plants and animals. These resources were picked for the ability to

provide subsistence, with the intention to cultivate once at their destinations,

but it was also used as a supply on their long voyages. They brought pigs,

47 Andrew W Lind, An Island Community; Ecological Succession in Hawaii (Chicago, Ill.: University
of Chicago Press, 1938) 24-6.

48 Handy, E. S. Craighill. The Hawaiian Planter Volume I: His Plants, Methods and Areas of
Cultivation. (Millwood, NY: Kraus Reprint, 1985), 128.

Reprinted with permission of the original Publisher. Originally published: Honolulu, Hawaii :
Bernice P Bishop Museum, 1940. (Bernice P. Bishop Museum bulletin ; 161)

36

dogs and chickens which they could breed, as well as important staple

foods including taro, sweet potato, banana shoots, breadfruit, yams, kawa

and ipu. These plants are commonly referred to “canoe plants”.49 Many of

these plants continued to be extensively cultivated throughout the 19th and

20th centuries, although undoubtedly diminishing over time.

49 Alan C. Ziegler, Hawaiian Natural History, Ecology, and Evolution (Honolulu, Hawaii: University of
Hawai’i Press, 2002), 322.

37

CHANGES IN LAND TENURE

“What is not so clear is whether or not Hawai`i will

continue to be able to sustain future population

growth

and the kinds of economic development that have

occurred in the past few decades, and still remain, in
essential ways, Hawai`i. Change can no longer be

measured in the course of what happens in one
generation. The rapid rate of Hawai`i’s economic

ʻprogress’ seems to have compressed several lifetimes of
change into the forty-year period since Hawai`i became a

state in 1959.”

Dana Naone Hall50, 2004

After Hawai`i’s introduction to the western world, the Hawaiian civilization

underwent drastic changes occurring in rapid fashion. The interaction with

sailors coming from all corners of the world brought many diseases, which

Hawaiians had never been exposed to. Populations across the islands were

decimated, a crisis which early Christian missionaries used to convert many

Hawaiians away from their traditional religions. The traditional ahupua`a

systems were largely abandoned, and Hawaiian ways of life were forever

changed.

COLONIZATION OF HAWAI`I

Immediately after the discovery of Hawai`i to the western world, it became a

stop for trade, mostly fur traders between the Pacific Northwest and China.

The sandalwood trade proved to weaken the subsistence economy in

Hawai`i as the workforce, controlled by the ali`i, shifted manpower away from

50 Dana Naone Hall, “Preserving Hawai`i as a Hawaiian Place,” in Islands In Captivity: The Record of

the International Tribunal on the Rights of Indigenous Hawaiians, ed. Ward Churchill et al. (Cambridge:
South End Press, 2004), 256.

38

cultivating food, and into harvesting sandalwood. Many natives were forced

to forgo their traditional lifestyle of cultivation to support the sandalwood

trade, and new economic system. It was evident to early European sailors

that Hawaiians were unfamiliar with normal trade and export processes and

values. Often times, sandalwood, which sailors turned over for huge profits

in China, was unfairly traded in turn for items of virtually no value. The

culminating result of the sandalwood trade was a Hawaiian society that was

indebted to the foreign capitalism system, and faced with famine.

51

During the early 1800’s, whaling was one of the biggest industries in the

world, as oil was the main source of lighting at the time. Honolulu was the

best port for whalers en route, and Hawai`i saw increasing numbers of

foreigners stopping on its coasts to stock up on supplies during trips over

the Pacific. This not only changed the function of the society, but also the

patterns of development, as port cities grew, and influxes of foreign

populations arrived. Honolulu grew quickly, doubling in size between 1820

and 1840, causing economic activity to increase. Many businesses, houses,

public buildings, schools, churches were established. Many westerners

realized the potential investment opportunities in Hawai`i, and incessantly

fought to alienate its land.

1848 Māhele
The Māhele introduced concepts that were likely incomprehensible to native

Hawaiians in 1848. It served to be one of the definitive signs which showed

the ahupua`a systems, as systems for managing land, were replaced by

individual management of privately owned land. All Native Hawaiians were

provided the opportunity to own their own land, which was a completely

foreign concept, but in order to obtain this right, Native Hawaiians had to

travel to more inhabited towns, and go through a complicated legal process.

51 Noel J. Kent, Hawaii, Islands under the Influence (Honolulu, Hawaii: University of Hawaii Press,

1993) 17-20.

39

By the deadline given to undergo this process, many tracts remained

unclaimed by Hawaiians. Puna saw the lowest amount of land awards given

during the māhele, 311,754 acres of Crownlands were awarded to chiefs

who were not from the Puna moku, and only 3 Kuleana claims were given to

commoners. Davianna Pōmaika`i discusses four possible reasons for the

extreme low amount of land claims:

52

1. Puna’s extreme isolation may have caused a delay, or possibly even

complete lack, in the passing of information. With most of Puna’s
population living in on the isolated southeast coast, travel was limited
to the port city of Hilo.

2. Puna’s Hawaiian residents did not earn enough money to afford the
necessary provisions required to make a claim. Subsistence
practices endured longer in Puna than in most Hawai`i regions.
Economic activity at the time very was limited, and any existing
commerce was largely unprofitable.

3. Volcanic activity, physically unfit lands, or spiritual reverence for
pelehonuamea caused Hawaiians to purposefully reject their offered
claims.

4. Claims were submitted were done so after the deadline set. This also
may be due to the isolation of Puna, and the long distance that
Hawaiians in this area would have to travel. After the 1848 deadline,
526 claims were submitted, and in 1951, a petition was filed to
consider late claims.

Additionally, the very concept of land ownership was an unfamiliar concept

for Hawaiians, and the complex process for making a claim may have

deterred many commoners. At the time, the consequences of not filing

claims may not have been perceived as a huge threat, although in hindsight,

the true implications that panned out since would be unfathomable to

Hawaiians living in that era.

52 Davianna Pōmaika`I McGregor, Nā Kua’āina Living Hawaiian Culture, (Honolulu: University of
Hawai’i Press, 2007), 158-166.

40

The unclaimed land proved to be a vital asset in the development of Hawai`i

down the line, as these lands were later made available for ownership to

future foreign investors. With 260,878 acres of land unclaimed, and

available to foreigners, traditional practices of subsistence living were unable

to be upheld after 1848. This marked the final dissolution of the traditional

way of life, as there were no konohiki to oversee production, leaving the

ahupua`a abandoned.

AGRICULTURE

The Reciprocity Treaty of 18

75

In 1874, King Kālakaua became the first elected Hawaiian monarch. He was

quickly faced with mounting political pressures from foreigners wanting to

acquire land. Less than a year into his rein, he signed the Reciprocity

Treaty, which made Hawai`i a major player in the global economy, and

proved to be one of the major factors in Hawai`i’s transformation. It was

enacted on September 9, 1876, and established exclusive free trade

agreements with the United States, which Hawai`i’s economy was now

bound to. The economic infrastructure created through the Reciprocity

treaty enabled Hawai`i-produced sugar to dominate the world market, after

decades of relatively small-scale production.53 However, as Noel J. Kent

describes, it caused Hawai`i to focus its full attention on the production of

sugar, and “precluded Hawaii’s ability to develop into an autonomous, self-

directed, somewhat self-sustaining economic entity.”

54

53 Ralph Simpson Kuykendall and Arthur Grove. Day, Hawaii: A History from Polynesian Kingdom to

American State, Revised Edition, Englewood Cliffs: N.J., 1962.
54 Noel J. Kent, Hawaii, Islands under the Influence (Honolulu, Hawaii: University of Hawaii Press,

1993) 47.

41

The notorious “Big 5”, who had been producing sugar on the islands for

decades before, were elevated to a level of economic supremacy. They

began to establish banks, insurance companies, and railways, monopolizing

many sectors of Hawai`i’s economy. With the isolation from banking entities

that oversaw the economy of the mainland U.S., the Big 5 dominated control

over much of Hawai`i’s land and development, an attainment that is still

evident in the 21st century.

Immigrant Workers
As the sugar industry in Hawai`i exponentially grew, huge immigrant

populations were brought as laborers to tend the fields. After the signing of

the Reciprocity Treaty, the total population in Hawai`i grew from 55,000

people in 1876 to 154,000 people in 1900. In 1876, approximately 90% of

Hawai`i’s population were full or part Native Hawaiian, but by 1900, the

Hawaiian population only accounted for approximately 26% of the

population.55

Although considerable later than the statewide immigration movement, a

huge jump in population can be seen in Puna immediately after the

establishment of the Puna Sugar Company in 1900. The Puna Sugar

Company and sugar growers on Hawai`i Island brought immigrants from

Japan, Puerto Rico, and the Philippines. Throughout the islands, many

towns started to develop around sugar plantations, including Kea`au and

Pāhoa. Small business were established to support the immigrant

settlements.56

55 Jon M. Van Dyke, Who Owns the Crown Lands of Hawaii? (Honolulu, HI: University of Hawaii
Press, 2008), 131-144.

56 Davianna Pōmaika`I McGregor, Nā Kua’āina Living Hawaiian Culture, (Honolulu: University of
Hawai’i Press, 2007), 167-169.

42

The masses of immigrants not only changed the social dynamics at the

ground level, but also at the constitutional level, as immigrants who became

naturalized citizens were allowed to vote on affairs in the Kingdom of

Hawai`i.

43

Agricultural Activity in Puna

Figure 9 : Agricultural Products in Puna

Sources: E. S. Craighill Handy, The Hawaiian Planter Volume I: His Plants, Methods and Areas
of Cultivation. (Millwood, NY: Kraus Reprint, 1985).

Davianna Pōmaika`I McGregor, Nā Kua’āina Living Hawaiian Culture, (Honolulu: University of
Hawai’i Press, 2007), 167-169.

44

Source: Coulter, John W. “Land Utilization in the Hawaiian
Islands,” University of Hawai`i Research Publication, no. 8
(1933): 29.

Source: Coulter, John W. “Land Utilization in the Hawaiian
Islands,” University of Hawai`i Research Publication, no. 8
(1933): 28.

Figure 10 : 1906 Coulter Map

Figure 11 : 1930 Couter Map

ç

ç

45

POLITICAL REFORMS

“The booming financial and real estate activity has left
little time to reflect on the current growth-led model for
Hawai`i, its appropriateness, present affordability, and

long-term sustainability. An examination must be made to
see whether basic needs are met and whether the island

ecology is protected in the quest for suitable jobs and
affordable housing for local people.”

Luciano Minerbi57, 19

94

REPRESSION OF THE HAWAIIAN KINGDOM

The overthrow of the Hawaiian Kingdom came at a particularly interesting

time of changing American values. Distinguished professor of Modern

History, Gary Cross, explains that by the turn of the twentieth century, the

American Landscape had been thoroughly vanquished. The exploitation of

the American landscape caused America to be the “richest country in human

history”, and standards of living were greatly lifted.58 There was nothing

unattainable, as long as you could produce the money. A focus of wants

took over the focus of needs. The consumer culture was rising, and Hawai`i

had great potential to invest in.

1887 Bayonet Constitution
The success seen after the Reciprocity treaty proved to increase foreign

interest in permanent control of Hawai`i’s land. The 1887 Constitution

greatly infringed upon the power of the Hawaiian monarchy, and paved the

57 Luciano Minerbi, “Sustainability Versus Growth in Hawai`i,” Social Process in Hawai`i

35, (1994) : 148.

58 Gary S. Cross, An All-consuming Century Why Commercialism Won in Modern America (New
York, NY: Columbia University Press, 2000), 17.

46

way to eventual American control of Hawai`i.59 The “Hawaiian League”, a

group consisting of westerners and plantation owners, was led by Lorrin A.

Thurston. They opposed Hawaiian Nationalism with the interest of

expanding their own economic interests. With hundreds of supporters, as

well as the backing of the “Hawaiian Rifles”, who were deployed around

Honolulu, the Hawaiian League imposed the 1887 Constitution, which was

reluctantly signed by King Kālakaua in order to avoid any violent conflict. 60

This was later referred to as the “Bayonet Constitution”, and drastically

reduced the executive power of the monarchy.

Under the Bayonet Constitution, the king no longer had the ability to appoint

his executive cabinet, the House of Nobles. Instead, they were elected into

office by voters who were required to either own a minimum of $3,000

taxable property, or have an annual income of at least $600, among other

still requirements. Under these requirements, the ability of the Hawaiian

population to vote for their own representatives in the House of Nobles was

cut in half. Only non-native voters of American or European descent could

vote, and Asian citizens were not able to vote, although under previously

established constitutions they could.61

After the Bayonet Constitution, the Reciprocity Treaty was also renewed and

amended to give the U.S. outright control of Pearl Harbor. This had been a

goal of Hawaiian League supporters for some time, as it allowed them

further military backing. Hawaiians clearly recognized this as a threat to their

sovereignty, and previous to the Bayonet Constitution, was something that

59 Jon M. Van Dyke, Who Owns the Crown Lands of Hawaii? (Honolulu, HI: University of Hawaii
Press, 2008), 145-149.

60 Ralph Simpson Kuykendall and Arthur Grove. Day, Hawaii: A History from Polynesian Kingdom to
American State, Revised Edition, (Englewood Cliffs: N.J., 1962), 169-173.
61 Jon M. Van Dyke, Who Owns the Crown Lands of Hawaii? (Honolulu, HI: University of Hawaii
Press, 2008), 145-149.

47

King Kālakaua, firmly denounced.62 Kālakaua enduringly pursued an

overturn of the 1887 Bayonet Constitution, exercising all powers that he

retained, and uniting all Hawaiians who still supported him. He continued to

make progress against the imperious reform party until his abrupt passing

on January 20, 1891 while in San Francisco. 63

1893 Overthrow of the Hawaiian Kingdom
Queen Lili`uokalani, was the first female Hawaiian ruler, and successor to

Kālakaua. She was also his sister. Along with the Hawaiian crown, she also

inherited the same unrelenting pressures seeking annexation of Hawai`i to

the United States. Like her predecessor, she carried on the efforts to restore

autonomy to the Hawaiian people amid revolutionist opposition, proposing

constitution to give back the ability to appoint cabinet members. However,

annexation parties gained momentous support of the U.S. House of

Representatives. In 1889, U.S Minister John L. Stevens arrived in Hawai`i

with the intent to aggressively carry out the annexation goals supported by

the U.S. With 160 armed U.S. troops surrounding `Iolani Palace, the Queen

forfeited all executive powers to a U.S. Provisional Government. She did so

with the belief that she would be presented the opportunity to regain control,

and like Kālakaua, Lili`uokalani endlessly fought to regain Hawaiian rights

with little effect. Even the support of President Grover Cleveland did little to

reverse the illegal overthrow of the Hawaiian Kingdom, as Hawai`i

progressively transformed under control of the U.S. The Provisional

Government eventually gave way to the Republic of Hawai`i, annexation,

territory status, and eventual U.S. state.

64

62 Noel J. Kent, Hawaii, Islands under the Influence (Honolulu, Hawaii: University of Hawaii Press,

1993) 53-55.
63 Ralph Simpson Kuykendall and Arthur Grove. Day, Hawaii: A History from Polynesian Kingdom to

American State, Revised Edition, (Englewood Cliffs: N.J., 1962), 169-173.
64 Jon M. Van Dyke, Who Owns the Crown Lands of Hawaii? (Honolulu, HI: University of Hawaii
Press, 2008), 151-171.

48

The Māhele, Reciprocity Treaty, Bayonet Constitution, and overthrow of the

Hawaiian Kingdom was aimed to eventually allowed foreigners to buy, sell,

and develop land in Hawai`i. With the formation of Republic of Hawai`i in

1894, all previous land agreements were super-ceded, including the 18

65

Statute, which recognized the Crown Lands as inalienable. Land that

remained unclaimed after the Māhele was eventually made available to be

exploited for capital ventures, mostly agricultural purposes, which changed

the landscape and the way land was thought of.

ECONOMIC DEVELOPMENT

Post war America saw a huge bump in consumer sales, an increase of 20%

in just one year after WWII.65 The economy was now driven by consumer

spending. At the time of statehood in 1959, and into the 1960, the sugar

industry in Hawai`i gradually declined. Pineapple industries were also

starting to see a significant decline as companies were beginning to look

outside of Hawai`i for cheaper labor.66 New methods of capital income were

needed. At this point, there was a shift in views about land use in Hawai`i

away from agricultural, and more toward serving the growing consumer

market.

Legislative Land Reform
A series of legislative bills in the 1960’s raised taxes on large land owners,

who were still using land primarily for large scale agricultural purposes.

Taxes were raised on large landowners, who then began to phase out

agriculture activities and develop their lands into subdivisions where land

was either sold or leased. Newly subdivided lands were reclassified, and

65 Gary S. Cross, An All-consuming Century Why Commercialism Won in Modern America (New
York, NY: Columbia University Press, 2000), 75-92.

66 Noel J. Kent, Hawaii, Islands under the Influence (Honolulu, Hawaii: University of Hawaii Press,
1993) 144-6.

49

prices were determined according to their “highest and best use” for

economic gains to the state. Development of these lands would be focused

around capitalize on the growing tourism industry.67

The advancement of Hawai`i’s economic development agenda was largely

intensified under the candidacy of three-term Governor John Burns, an

active member of the democratic reform party. He campaigned with the

vision of turning Hawai`i into the trade and economic focal point of the

Pacific, and the connection between U.S. and Asia. Under Burns’ term,

Hawai`i saw many public development projects on all islands, which adhered

to the political momentum regarding development practices first initiated

with the democratic land reforms and statehood.68

Economic Maladies
Luciano Minerbi argues that pointless economic growth does not inhibit an

equitable or sustainable future in Hawai`i. Conversely, it only “mechanically

responds” to needs of developers and does not address such social issues

of local jobs, affordable housing, cultural and environmental degradation, or

quality of life for residents.69 This was made clear as Governor John Burns’

push for Hawai`i industrialization was short lived, and by the mid-1970’s,

economic growth had nearly stagnated at under 1%, causing huge

unemployment and welfare rates. State spending and debt became of

prominent concern, and the cost of living was up to 25% higher than the

67 George Cooper and Gavan Daws, Land and Power in Hawaii: The Democratic Years (Honolulu:
Benchmark Books, 1985), 35-85.
68 Noel J. Kent, Hawaii, Islands under the Influence (Honolulu, Hawaii: University of Hawaii Press,
1993) 140-63.

69 Luciano Minerbi, “Sustainability Versus Growth in Hawai`i,” Social Process in Hawai`i 35, (1994) :
145-160.

50

U.S.70 Industrial innovations also displaced many plantation workers, such

as those in the Puna Sugar company, who went out of business in the 1982.

Tourism
A large part of the development after the 1960’s land reforms was focused

on capitalizing on the growing tourism in Hawai`i. On the Big Island,

Governor Burns focused tourism development in Kona. Today Kona still

remains a dominant target for Big Island tourism, with ever developing golf

courses, timeshares, and resorts. Puna also sees a steady stream of

tourists, who visit natural attractions such as hiking trails in the unique

rainforests and the lava flows in Kalapana. There is also a large market for

vacation rentals, many of which are concentrated near the Kapoho area.

However, many of advertised vacation rentals function without proper

licenses, so exact figures can’t currently be determined.

70 Noel J. Kent, Hawaii, Islands under the Influence (Honolulu, Hawaii: University of Hawaii Press,
1993) 140-63.

51

SOCIO-CULTURAL DYNAMICS

“The beauty of these natural kīpuka is not only their ability
to resist and withstand destructive forces of change, but
also their ability to regenerate life on the barren lava that

surrounds them.”

Davianna Pōmaika`i McGregor,71 2007

CULTURAL KĪPUKA

Throughout the changes that many places in Hawai`i experienced

throughout the mid 1900’s, Puna’s vast and isolated landscape allowed it to

be relatively low on the priority of developers. The Hawaiians in Puna, and

other similar isolated rural areas throughout Hawai`i, were able to maintain

the close relationship with the land they live on. Cultural identity was

maintained through continued traditional practices, including subsistence

food production and cultural gathering in the Natural Landscapes.

These few cultural strongholds of Hawaiian practices and lifestyle are

referred to as a ‘cultural kīpuka’72 by Native Hawaiian practitioner and

professor of ethnic studies at the University of Hawai‘i, Davianna McGregor

who conducted extensive ethnographic surveys in such regions. Within

these cultural kīpuka, distinct populations choose to live practicing the

traditional models of subsistence living.

The significance of this term is derived from natural kīpuka, which are

patches or “islands” of forest that is left intact as the surrounding landscape

is covered by lava. These resilient kīpuka are responsible for regenerating

71 Davianna Pōmaika�i McGregor, Nā Kua ‘āina: Living Hawaiian Culture (Honolulu: University of
Hawai‘i Press, 2007), 12-19.

72 Ibid.

52

entire tracts of native forests and their ecologies. The remaining Puna

forests, including Wao Kele O Puna, are part of a natural kīpuka, making this

region particularly important asset. The provisions of the natural and cultural

kīpuka in Puna have enabled Hawaiians, a way of life and sustenance that

resisted the dependence of capitalism.

However, pervasive and non-conforming development within Puna have

endangered the cultural rights and needs of those who continue to chose

the subsistence lifestyle. As development in Puna indiscriminately expands,

the constant destruction of natural and cultural resources threatens the

existence and functions of these important kīpuka.

Land Speculation in Puna
In the Post-war era, a new age of consumerism was flourishing in mainland

America, and the notion of excess and luxury had fully taken over American

society.73 American citizens started to inhabit vast sub-divisions which

adhered to this culture the American car culture. In 1958, Puna also became

a victim to the “American Dream”. Two Denver businessmen partnered with

locally-based politicians and businessmen to purchase huge tracts of

undeveloped land which had little economic value to the state. These lands

were then subdivided into individual properties, usually 1-3 acres in size.

With incredibly low prices and a strategic marketing plan to mainland

buyers, many of these plots were quickly bought up, even though many

were without basic infrastructure. Approximately 80,000 lots were eventually

speculated by 1975, mostly in the Puna, Ka`u, and South Kona districts,

setting the population growth and development trends seen in these regions

today. 74

73 Gary S. Cross, An All-consuming Century Why Commercialism Won in Modern America (New
York, NY: Columbia University Press, 2000), 103-112.

74 George Cooper and Gavan Daws, Land and Power in Hawaii: The Democratic Years, (Honolulu,
Hawaii: Benchmark Books, 1985), 259-277.

53

Figure 12 : Changing Population in Puna

Sources: Davianna Pōmaika`I McGregor, Nā Kua’āina Living Hawaiian Culture, (Honolulu:
University of Hawai’i Press, 2007), 167-169.

“Projection of Resident Population by District, Hawai`i County : 2000 to 2020” (Hawai`i County
Census Data Base, 2006).

54

Figure 13 : Puna Subdivisions Figure 14 : Subdivided Lots

ç
ç

55

CHANGING POPULATIONS

The availability of very cheap subdivided lots after land speculation have

caused a steady increase in population since, and individual lots continue to

be purchased ala carte. Notably, very few of the properties bought initially

went to Big Island residents. According to geographical surveys, an

approximate 57,200 properties of the 80,000 subdivided lots created in the

land speculation movement in Puna were purchased by outside residents

before 1975. This caused a drastically expanding population which quickly

outgrew the available resources and public provisions

available.

Population Growth
This trend continues on today, as rural areas across Hawai`i, are still seeing

many houses going to out of state residents. In Hawai`i county,

approximately 43.1% of the houses purchased between 2008 and 2015

were bought by out-of state residents. Kaua`i County and Maui County

experienced similar trends, where 45.4% and 52% of households were

purchased by out of state buyers, respectively.75

Puna is one of the most rapidly growing districts in the state and has seen a

steady 17% population increase every 5 years since 2000. If this trend

continues, the population 5 years from now, in the year 2020, the population

is estimated to grow to 58,246, an additional 8,445 people from today’s

population total of 49,801.76 (SeeFigure 12 : Changing Population in Puna)

Many district improvements have been undertaken to alleviate the affects of

rapid growth. With growing traffic concerns in Puna, there has been a major

focus on highway improvements to Kea`au-Pāhoa Road, the only byway

connecting the Lower Puna area to the rest of the island. Additional Road

networks have also been proposed. However, more proactive approaches

75 State of Hawai�i, Department of Business, Economic Development and Tourism, Research and
Economic Analysis Division, Residential Home Sales in Hawaii, 2015.

76 “Projection of Resident Population by District, Hawai`i County : 2000 to 2020” (Hawai`i County

56

are needed, as retrospective actions have many times been forced to

tradeoff one unfavorable complication for another.

Cost of Living
Out of state homebuyers have also aided in Hawai`i’s perpetual cost

inflation. According to Luciano Minerbi, speculative economic projections in

industries such as tourism, real estate development, military, and

agribusiness, have allowed simultaneous population and job growth. This

has created an economic system which must be maintained by continual

growth. However, while the economy in Hawai`i grew between the 1960’s

and 1990’s, the wages did not, and current dollars heavily outweighed

constant dollar projections.77 The wealth distribution gap has been

expanding since, and is sustained by a constant in-migration of workers with

higher skill sets and incomes who are better suited to take advantage of, and

invest in, economic trends.

Between the years 2008-2014, the average residential sales price was

$478,189. Out of state buyers paid a considerable amount more on

average. During the same period, mainland buyers, on average, spent

$630,390, an increase of $152,201(31.8%), while foreign buyers, on average,

spent $785,604, an increase of $307,415 (64.3%) compared to local home

buyers.

78

Poverty Rates
According to Hawai`i’s Department of Business, Economic Development &

Tourism (DBEDT), 5-year estimates taken from US census data show that

77 Luciano Minerbi, “Sustainability Versus Growth in Hawai`I,” Social Process in Hawai`i 35, (1994)

: 145-160.
78 State of Hawai�i, Department of Business, Economic Development and Tourism, Research and

Economic Analysis Division, Residential Home Sales in Hawaii, 2015.

57

the median household income in the Pahoa census tract is $29,821, with

33.6% of the population living in poverty. Comparatively, the median

household income in the state of Hawai`i and Hawai`i county is $67,402 and

$51,250 respectively, while the poverty rates of these areas are 11.4% and

19.5% respectively.

Homeless
Hawai`i also has a severe homeless problem. As of February 2016, Hawai`i

had the largest homeless population per capita. In October 2015, Governor

David Ige declared an emergency declaration to address the homeless

situation.79 The efforts have primarily been in urban Honolulu, where effects

are clearly visible, and considered harmful to Hawai`i’s business and tourism

industries. Puna also has a large population of homeless, but the situation is

far less conspicuous, as many homeless individuals find refuge in the natural

forest, or squat in the many unoccupied plots.

Food
With an approximate 360,000 acres of prime agricultural land in Puna, and a

climate which allows cultivation year-round, it is theoretically possible that

the population could be fully sustained by local agricultural activities.80

However, it is approximated that 85% of food consumed in Hawai`i is

shipped. The added transportation measures account for food prices that

are 25% higher on average than prices on the mainland U.S.81 There are 4

grocery stores in the Puna district; Foodland in Kea`au; Sure Save

Supermarket in the Orchidland Estates Subdivision; Malama Market in

79 Cathy Bussewitz, “Hawaii Extends Emergency Declaration to Fight Homelessness,” Hawaii News

Now, February 23, 2016, Accessed February 23, 2016.
http://www.hawaiinewsnow.com/story/31296585/hawaii-extends-emergency-declaration-to-fight-
homelessness.

80 Ryan Kam, Estimating Carrying Capacity in Puna: The Importance in Rural Hawai`I, University of
Hawai`i at Mānoa Department of Urban & Regional Planning, April 30, 2015.

81 Christina Page, Lionel Bony, and Laura Schewel, Island of Hawaii Whole System Project Phase I
Report, Rocky Mountain Institute, 2007.

58

Pāhoa town center; and Island Naturals, also in Pāhoa. These four grocery

stores are the primary source for Puna’s estimated 50,000 residents to

acquire fresh foods. As populations grow in Puna, more land is at-risk, with

some lands classified for prime agricultural uses already being re-zoned to

build houses.82

Crime
The district of Puna has one of the highest crime rates, not only on Big

Island or the state of Hawai`i, but also in the entirety of the United States.

When compared to other districts of similar size, violent crimes and property

crimes were exceptionally high.83 The Hawai`i Tribune Herald reported that

2013 showed record highs for both violent crimes and household crimes in

Hawai`i County, the later of which accounted for 90.6% of total crimes.

Citing the official report released by the state Attorney Generalʻs Research

and Statistics Branch, and Paul Perrone, the attorney general’s chief of

research and statistics, the article states that the high household numbers

could in part be due to the dispersed households and thick surrounding

vegetation.84

82 County of Hawai`i. Planning Department. “Public Notice: Workshops for Proposed Amendment

to the County of Hawai`i General Plan Land Use Pattern Allocation Guide (LUPAG) Map.” News release.
Accessed February 1, 2016. http://www.cohplanningdept.com/wp-content/uploads/2015/01/Keaau-GP-
Amend-2015-Information-Packet .

83 “Crime Rates for Pahoa, HI.” Neighborhood Scout. 2000-2016. Accessed February 30, 2016.
http://www.neighborhoodscout.com/hi/pahoa/crime/.

Compiled from FBI and the U.S. Justice Department data and statistics

84 John Burnett, “Violent Crimes Hit New High,” Hawaii Tribune Herald, August 2, 2015, Accessed

January 23, 2016. http://hawaiitribune-herald.com/news/local-news/violent-crimes-hit-new-high.

59

HAWAI`I’S UNIQUE ECOLOGIES

NATIVE SPECIES

It cannot be overstated how much the Hawaiian culture was integrally tied.

Before the widespread colonization to introducted species, many early to

mid 20th century studies conducted on Hawaiian plants concluded that

approximatedly 66-80% of plants in Hawaii were endemic, and found no

where else in the world. The large majority of the rest were indigenous.

The plants and animals are one of the main draws to Hawai`i.

Biomes
The large number of native species found in Hawai`i is due both to the

isolation of the the Hawaiian archipelago, and to the unique terrain.

Part of the unique characteristics of the landscape in Hawai`i is that it posses

such a wide range of terrestrial zones, or biomes. Hawai`i posses a range of

biomes, from mesic forest, tropical forest, tundra.85 These zones are found

within a relatively small amount of space, whereas continental regions may

include only one biome classification for hundreds of miles.

Wao
This means that an extensive and diverse range of natural material goods

were available to the Hawaiians, who delineated these zones accordingly.

The precise observation of varying zones was also integrally tied with the

functions of the ahupua`a system, as they understood the resources that

85 Alan C. Ziegler, Hawaiian Natural History, Ecology, and Evolution (Honolulu, Hawaii: University
of Hawai’i Press, 2002), 105-6.

60

were afforded to them.86 Puna consists of mostly rainforest and mesic

forest. However, these zones are not typically highly productive for

cultivation using traditional methods, so in the old days, settlement occurred

primarily nearer to the coast. 87

PELE’S PRESENCE

Pelehonuamea, or Pele, goddess of fire, was traditionally held with particular

regard throughout the Hawaiian Islands. Her active presence in Kīlauea

volcano, one of the most active volcanoes in the world, meant that she was

particularly respected and revered Puna. The constant volcanic activity had

a considerable role in shaping the culture of Hawaiians, similar to many other

civilizations which lived in the vicinity of such eruptive power. They

recognized the dualistic ability of Pele to both create land, and destroy it.88

Pelehonuamea
In traditional times, Pele was so respected, that many feared improper

worship and offerings to her might result in destructive consequence.89 Early

19th century explorer of the islands and missionary, William Ellis wrote in his

journal about the deep embedded deference of Natives toward Pele. Ellis

wrote of the unwillingness of Natives in the Puna area to trek too close to

certain areas of Kilauea, and freely eat ohelo berries. He described the

86 Kepā Maly, Mālama Pono I Ka `Āina: An Overview of the Hawaiian Cultural Landscape, Report,

2001.

87 Davianna Pōmaika�i McGregor, Nā Kua ‘āina: Living Hawaiian Culture (Honolulu: University of
Hawai‘i Press, 2007), 12-19.

88 Jelle Boer and Donald Theodore Sanders, Volcanoes in Human History: The Far-reaching Effects
of Major Eruptions, (Princeton, N.J.: Princeton University Press, 2002), 22-46.

89 David Malo, Hawaiian Antiquities (Moolelo Hawaii). 2d ed. (Honolulu, Hawaii: Bishop Museum Press, 1951),
116.

61

uneasiness displayed when he and his crew began to consume them without

first offering a tribute to Pele.

90

Like many other aspects of Hawaiian culture that were deems mythological

beliefs, Pele actually revealed a distinct understanding of volcanic behavior

and knowledge of tectonic patterns. The story of Pele travelling across the

pacific to evade her sister, goddess of the sea, while stopping, forming

volcanic craters, and eventually creating the Hawaiian islands, actually

precisely reflected how the islands geologically formed over time.91

Absolute respect for Pele also meant respect for the land and animals.

Historic Lava Flows
Pele is regarded as perhaps the only deity that has survived and worshiped

even after centuries of western contact.92 Kilāuea volcano is one of the most

active volcanoes in the world, and Pu`u O`o crater has repeatedly caused

unpredictable disruptions which, at times, have directly affected residents

and nearby communities.

90 William Ellis, Journal of William Ellis: Narrative of a Tour of Hawaii, or Owhyhee : With Remarks

on the History, Traditions, Manners, Customs, and Language of the Inhabitants of the Sandwich Islands.
Rutland, Vt.: Tuttle, 1979.

91 Jelle Boer and Donald Theodore Sanders, Volcanoes in Human History: The Far-reaching Effects
of Major Eruptions, (Princeton, N.J.: Princeton University Press, 2002), 22-46.

92 Davianna Pōmaika`i McGregor and Noa Emmett Aluli, “Wao Kele O Puna and the Pele Defense
Fund,” in A Nation Rising, ed. Noelani Goodyear-Ka`ōpua et al. (Duke University Press, 2014), 180-198.

62

Figure 15 : Lava Threat Zones

ç

63

THREATS TO NATIVE BIOTA

Habitat Destruction
Because of the fragile state of Hawai`i’s native species, humans can make a

huge difference in conserving or threatening them. Human population

increase has, and always will, pose a huge threat to the existence of tropical

rainforests. Important native species in Puna are threatened by continual

growth and developmentand proper management of human impacts is

dependent on a thorough understanding of its ecological systems.93

Although Hawaiins undoubdedly also changed the native environments, the

they maintained the ability to sustain themselves with the resources,

regenerative, gave back, established kapu. Admitedly, they were also

responsible for some and habitat changes species extinction94, which may

be understood of many animal species., but on a lareg scale, the island

ecosystems were maintained, and species not directly affected were given

the opportunity to adapt.

Charles P. Stone and J. Michael Scott suggest 8 reasons to preserve Native

ecosystems, all of which have the ability to enhance sustainability in rural

Hawai`i regions.

95

1. Aesthetic and recreational values which may help generate revenue

from tourism activityes

93 J. P. Kimmins, Forest Ecology: A Foundation for Sustainable Forest Management and
Environmental Ethics in Forestry. 3rd ed. (Upper Saddle River, N.J.: Prentice Hall, 2004), 3-13.

94 Patrick V. Kirch, “The Impact of the Prehistoric Polynesians on the Hawaiian Ecosystem,” in A
Natural History of the Hawaiian Islands, ed. by E. Alison Kay, 425-38. (Honolulu: University of Hawai`i Press,
1994) 434-435.

95 Charles P Stone., and J. Michael Scott, “Hawai`i’s Native Ecosystems: Importance, Conflicts, and

Suggestions for the Future,” in A Natural History of the Hawaiian Islands: Selected Readings II, ed. by E.
Alison Kay, 473-89 (Honolulu: University of Hawai`i Press, 1994) 473.

64

2. Hawaiian cultural values

3. Genetic diversity for Utilitarian purposes

4. Preserve natural processes and gene pools

5. Provide environmental baselines for research and educational

activities to inform land-use decisions

6. Watershed and climateic values

7. Ethincal considerations

8. Constitutional, statutory and planning mandates

Fragmentation
The careless use of land in Puna is perhaps most apparent when displayed

in relationship to its natural climatic zones. Puna subdivisions clearly sever

and isolate large portions of forest zones, creating a threat to biodiversity

known as fragmentation. Fragmented rainforests cause limited accessibility

of plants and animals naturally occurring within certain climatic habitats.

When combined with global warming effects, overharvesting, in this case to

make way for housing and development, and fragmentation of important

habitats has profound effects on species and stressors can largely effect the

resilience of native plants and animals.96

Heterogeneous gene pools increase the ability of native systems for both

short and long-term adaptability in with changing climates97. However,

fragmentation isolates portions of habitats, leading to higher rates of species

inbreeding, and therefore, more homogenous gene pools. These confined

populations of species have higher likelihood of genetic mutations, and are

more vulnerable to climate change.

96 C. Mora, R. Metzger, A. Rollo, and R. A Myers, “Experimental Simulations about the Effects of
Overexploitation and Habitat Fragmentation on Populations Facing Environmental Warming,” Proceedings
of the Royal Society B: Biological Sciences, 2007, 1023-028.

97 Martin Dieterich, “Reflections on the Intelligenece of Natural Systems,” in Cultural Landscapes
and Land Use: The Nature Conservation-society Interface, ed. Martin Dieterich and Jan Van Der. Straaten,
(Dordrecht Kluwer Academic Publishers, 2004), 26-29.

65

Invasive Species
Human activity and environmental manipulation has caused an increased

threat of invasive species. In addition to the implications to biodiversity and

cultural needs, invasive species have caused severe economic loss to the

U.S.98

Because Hawai`i’s native plants and animals evolved over time in such a

unique niche, and in such isolation from newly introduced species, alien

invasive species that have become naturalized in Hawai`i today have been a

major threat to native species. Today, Hawai`i contains the highest rates, by

far, of endangered species of plants and animals in the country.99 Forest

habitats studied on Hawai`i island show nearly no recolonization of native

species once invasive plants have become the dominant species.100 Albezia

trees are one of the most pervasive threats to forest ecosystems on Big

Island. Albezia trees grow extremely fast and tall. However, they are also

extremely brittle, and have a very shallow root system. It is common for

large branches to fall, or even entire trees to topple during during strong

winds. (See Figure 16 : Fallen Albezia Branch)

98 David Pimentel et al., Environmental and Economic Costs Associated with Non-indigenous
Species in the United States, (Ithaca, NY: Cornell University, College of Agriculture and Life Sciences, 1999).

99 David S Wilcove, David Rothstein, Jason Dubow, Ali Phillips, and Elizabeth Losos, “Quantifying
Threats to Imperiled Species in the United States,” Bioscience 48 (2008), [American Institute of Biological
Sciences, Oxford University Press]: 607–15, doi:10.2307/1313420.

100 Joseph Mascaro, Kristen K. Becklund, R. Flint Hughes, and Stefan A. Schnitzer, “Limited Native
Plant Regeneration in Novel, Exotic-dominated Forests on Hawai’I,” Forest Ecology and Management 256,
no. 4 (2008): 593-606, accessed March 02, 2015, doi: 10.1016/j.foreco.2008.04.053.

66

Figure 16 : Fallen Albezia Branch

Source: Author

67

Figure 17 : Fragmentation in Puna

Source: GIS Database

68

Figure 18 Threatened and Endangered Plant Zones

Source: GIS Database

69

Figure 19 : Conservation Zones

Sourece: G.I.S. Database

70

FUTURE PLANS FOR

PUNA

“The quest for an environmentally sustainable,
economically affordable, and just development will

succeed only by redefining the planning principles of
public health, safety, and welfare using quality of life and
sustainable economic development indicators, island by

island and community by community.”

Luciano Minerbi1011994

HAWAI`I 2050 SUSTAINABILITY PLAN

Amid growing concerns of residents in a changing Hawai`i, a task force was

created through a legislative bill that was passed in 2005. The Hawai`i 2050

Sustainability Task Force, as it came to be called, set out to provide goals,

indicators, and action steps for Hawai`i’s development through 2050, and

replace the outdated Hawai`i State Plan, which was formulated in the 1970’s.

The Hawai`i 2050 Sustainability Plan was created to address the long-term

needs and concerns of Hawai`i residents, and reflect the preferred future of

the community. Neighborhood outreach events engaged the public on all

islands, which were used to develop general guidelines which contribute to a

sustainable and equitable Hawai`i.

The state defined as sustainable Hawai`i by the following measurement

indicators:

• Respects the culture, character, beauty and history of our state’s

island communities

• Strikes a balance among economic, social and community, and

environmental priorities

• Meets the needs of the present without compromising the ability of

future generations to meet their own needs

101 Luciano Minerbi, “Sustainability Versus Growth in Hawai`i,” Social Process in Hawai`i

35, (1994) : 148.

71

The Hawai`i 2050 Sustainability Plan also named 5 main areas to focus

sustainability efforts on:

1. A sustainable “way of life”
2. The economy
3. Environment and Natural Resources
4. Community and Social Well-Being
5. Kanaka Maoli Culture and Island Values

Together, these focus areas formed one overarching vision of the Hawai`i

2050 Sustainability Plan. It also included education as an important

imperative to tie all 5 aspects together. The guidelines formed in the plan

serve as a general framework, which can be further defined at the

community level.

102

PUNA

102 State of Hawai`i, Hawai`i 2050 Sustainability Task Force, Hawai`i 2050 Sustainability Plan:

Charting a Course for Hawai`i’s Sustainable Future, 2008.

Figure 20 : Hawai`i 2050

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72

COMMUNITY DEVELOPMENT PLAN

VISION: “Residents of puna live in harmony with the `āina
while promoting a sustainable vibrant local economy,

healthy communities, and a viable transportation system
that is accessible, friendly and safe for now and future

generations.”

103

Background
In 2008, a regional community plan for the Puna district was released,

highlighting overall approaches to future development, major considerations,

and stakeholders. It was also amended several times throughout 2010 and

2011. It acknowledges the fact that Puna is subject to several major

influences of change in the future. The Puna Community Development Plan

(Puna CDP) shows a general understanding of some of the problems that

were also outlined in this research investigation.104

Challenges
The Puna CDP lists the following planning considerations as current

development challenges. These are also used as objectives to drive

planning actions.

• Lack of utility infrastructure to residences

• Un-even settlement patterns in subdivisions

• A poor transportation infrastructure

• Mis-use of agricultural soil

• Impacts to native forest

103 County of Hawai`i Planning Department, Puna Development Plan Steering Committee, Puna

Community Development Plan, 2008.

Amended: November 4, 2010 by Ordinance No. 10-104; June 8, 2011 by Ordinance No. 11-51, 11-52, & 11-
53; & December 6, 2011 by Ordinance No. 11-117 & 11-118.

104 Ibid.

73

The plan lists three main areas of focus to guide future development in

Puna:

Mālama I Ka `Aina
The primary goal of this

section in the Puna

Community Development

Plan is to protect natural

environmental areas. A major

objective listed is to adopt a

Biosphere Reserve Buffer

Zone (BRBZ), which will allow

more space between forest

reserve areas and developed

sub-divisions.

Growth
Management
The plan intends to build

community centers in existing

communities as a way to

mitigate sprawl. This will

focus activity of the

community around village

centers and provide improved

access to resources and

commerce, decreasing

automobile usage. The plan

also calls for rezoning

Figure 21 : Biosphere Reserve Buffer zone

Figure 22 : Village Centers

ç
ç

74

measures of the existing un-used sub-divisions.

Transportation
This section

expands upon the

growth

management

section. Town

centers will need to

have pedestrian

infrastructure, and

bicycle routes for

schools. The plan

also calls for

implementing mass

transit. More major

roadways are

requested to be

implemented.

Figure 23 : Transporation Networks

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75

SHIPMAN DEVELOPMENT PLAN

W.H. Shipman, Ltd. Is one of the largest private land holders in Puna,

holding approximately 17,000 acres, including some small property in

Oregon.105 The majority of land in Kea`au is owned by W.H. Shipman, who

was responsible for the development of W.H. Shipman Business Park and

Kea`au Village Market, which provides the community with grocery stores,

small businesses, and a newly constructed medical center. W.H. Shipman

has also been closely involved with the continued development of Kea`au

town and its public amenities, such as Kea`au Elementary, Middle, and High

Schools.

The near-future plans include medium density urban development in Kea`au.

In order to do this, W.H. Shipman is currently undergoing the process to

amend the zoning of the County of Hawai`i General plan. Under this

amendment, 475 acres of land that is classified as Low Density Urban, and

112 acres of land that is classified as Important Agricultural Land, will be

reclassified to an Urban Expansion Area. The Urban Expansion area would

allow high density development of residences, industrial, and commercial

uses.106 The zoning change is necessary for W.H. Shipmanʻs vision of a

“walkable town” where “Economic growth will come through the promotion

of diversified agriculture, encouraging tourism, the addition of new

community and education facilities, and the protection of important

environmental and cultural assets.” 107 In W.H. Shipman’s petition to

105 W.H. Shipman Limited. “History.” About WHS. 2012. Accessed February 20, 2016.

http://www.whshipman.com/about-whs/history/.

Official website of W.H. Shipman Limited

106 County of Hawai`i. Planning Department. “Public Notice: Workshops for Proposed Amendment

to the County of Hawai`i General Plan Land Use Pattern Allocation Guide (LUPAG) Map.” News release.
Accessed February 1, 2016. http://www.cohplanningdept.com/wp-content/uploads/2015/01/Keaau-GP-
Amend-2015-Information-Packet .

76

reclassify these lands, it also states that the action is necessary in order to

adhere to the Puna Community Development Plan’s objective of creating

central town centers.

107 W.H. Shipman Limited. “History.” About WHS. 2012. Accessed February 20, 2016.

http://www.whshipman.com/about-whs/history/.
Official website of W.H. Shipman Limited

77

THE DEPARTMENT OF HAWAIIAN HOME LANDS

The Department of Hawaiian Home Lands (DHHL) is one of the major land

holders in Puna as well as throughout the Hawaiian Islands. In 1921, Prince

Johah Kūhiō Kalaniana`ole conceptualized the Hawaiian Homes Commission

Act (HHCA), which designated a land trust of over 200,000 acres of land to

put back into the hands of native Hawaiians. Originally, the Hawaiian Homes

Commission (HHC) was also conceived as a way to manage these lands,

but upon statehood in 1959, the responsibilities of the HHC was transferred

to the state, and the DHHL was formed. The DHHL functions to assess,

and organize the lands granted under the HHCA for best-use practices.

These lands are awarded to Native Hawaiians in need, in the form of 99-year

leases for homesteads at the cost of $1 per year. In order to qualify,

applicants must be 50% Native Hawaiian, and must undergo an application

process, declaring the island of choice for award, as well as choice for type

of land lease.108

The Hawaiian Homes Commission Act
The intent of Prince Kūhio for the HHCA was to “provide self-sufficiency of

native Hawaiians through the provision of land.”109 Kūhio set aside land

specifically for the benefit of commoner class of Native Hawaiians, who were

unfairly affected following the enactment of the Māhele.110 It was also aimed

as a step toward Hawaiian autonomy and self-governance.

108 State of Hawai`i, “About the Department of Hawaiian Home Lands,” Department of Hawaiian

Home Lands, 2016. Accessed February 28, 2016. http://dhhl.hawaii.gov/about/.

109 State of Hawai`i, “Hawaiian Homes Commission Act,” Department of Hawaiian Home Lands,

2016. Accessed February 28, 2016. http://dhhl.hawaii.gov/hhc/laws-and-rules/.
110 Jon M. Dyke, Who Owns the Crown Lands of Hawai`i (Honolulu, HI: University of Hawaii Press,

2008) 237-253.

78

EXISTING DHHL PLAN IN PUNA

There are four tracts managed by the DHHL in the district of Puna. These 4

tracts are part of the East Hawai`i Island plan, which also includes tracts in

Hilo. Currently, all four tracts within Puna are listed as low-priority in the

Hawai`i Island Plan Final Report, signifying that there is low desire from

awardees to be placed in these tracts, and therefore are not planned to be

developed within the next 20-year phase of DHHL’s General Plan. However,

the DHHL has already conducted surveys of these tracts, and made general

recommendations for future development.111 (See figure 24)

`Ōla`a is the only tract that is in the upper Puna district. The `Ōla`a tract is

recommended for pastoral land, alternatively sustainable forestry, since it is

currently covered with `ōhi`a.

Keonepoko Nui consists of 100 acres recommended for general agricultural

purposes and is currently undeveloped.

Maku`u Makai consists of 500 acres recommended for general agriculture

purposes. It is currently undeveloped, and water and sewage utilities are not

available.

Maku`u Farmlots consists of 868 acres, and is recommended for

supplemental agricultural purposes. It has already been fully subdivided, but

largely remains undeveloped.

Maku`u Mauka consists of 640 acres recommended for mixed use

development including residential, subsistence agriculture, community, and

cultural uses. It is currently partially subdivided, and minimally developed,

111 Department of Hawaiian Home Lands, Hawai`i Island Plan Final Report, by PBR Hawaii

(Honolulu, HI, 2002), 1-8.

79

and DHHL is undergoing the process for a new community center and

further development in the near future.

Maku`u Mauka will be discussed in more detail in Design Introduction of

Section V. Any reference to the Maku`u Mauka tracts herein will also include

reference to the Maku`u Farmlots to form one entity.

Figure 24 : Existing DHHL Plan, Puna

Source: Department of Hawaiian Home Lands, Hawai`i Island Plan Final Report, by PBR Hawaii
(Honolulu, HI, 2002).

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80

EXISTING DHHL LAND DESIGNATIONS

Tracts leased to awardees are typically for residential, agricultural, pastoral

purposes. The Big Island has a total of 116,963 Acres of land, with 494

agricultural leases, 277 pastoral leases, and 1,277 residential leases

available. On the Big Island, agricultural leases had the largest waiting list,

with 5,588 applicants as of 2001. Residential and Pastoral waiting lists had

4,864 and 1,353 applicants on the waiting list, respectively..112

Residential
According to the DHHL Hawai`i Island Plan, residential land use is defined by

Residential subdivisions with personal plots less than 1 acre, and with

access to potable water, all utilities, and paved roads.

113

The Hawaiian Home Lands Strategic Plan for 2012-2017 states that

diversifying homestead leases are desired, as overall, single family

residences were the focus. Alternative residential units are desired, such as

kauhale, kupuna, multi-family, rental, and transitional housing options.

114

This means providing more agricultural and pastoral uses, as well as

aquaculture and community agriculture opportunities.

Subsistence Agriculture
Subsistence agriculture land use is defined as “lifestyle areas” which allow

beneficiaries land to cultivate agricultural products for personal home

consumption. Aquaculture is also allowed. Lots are less than 5 acres, with

marginal to good soil. Residential occupation is required with access to

water and unpaved roads. The existing Maku`u Development Plan includes

112 Department of Hawaiian Home Lands, Hawai`i Island Plan Final Report, by PBR Hawaii
(Honolulu, HI, 2002), 1-8.

113 Ibid.
114 State of Hawai`i, “About the Department of Hawaiian Home Lands,” Department of Hawaiian

Home Lands, 2016. Accessed February 28, 2016. http://dhhl.hawaii.gov/about/.

81

50 2-acre subdivided lots for subsistence leases, with plans to increase by

subdividing remaining undeveloped land in the Maku`u Mauka tract.115

Supplemental Agriculture
Supplemental agriculture land use is defined as lots for commercial-level

agriculture which supplies supplemental income to the beneficiaries. Lots

are less than 40 acres, with marginal to good lands. Residential occupation

is optional, but requires access to a water source and unpaved road.

Beneficiaries must actively utilize 2/3 of land within one year of occupation,

and have a farm plan. The existing Maku`u Development Plan includes

127

5-acre subdivided lots for supplemental leases, with plans to increase by

subdividing remaining undeveloped land in the Maku`u Mauka tract.

116

General Agriculture
General agriculture land use is defined as lots for commercial level

agriculture. Land sizes, residential, and infrastructural requirements are not

defined.

117

Keonepoko Nui and Maku`u Makai tracts are both designated for general

agriculture use, but lack of infrastructure currently stop these tracts from

being developed.

Pastoral
Pastoral land use is defined as marginal lands used specifically for pastoral

uses. Lots with irrigation are less than 100 acres, while lots without are

more than 100 acres, up to 1,000 acres. A farm plan, fencing, and unpaved

access is required. 708 acres in `Ōla`a are designated for pastoral use, but

are is currently subdivided.118

115 Department of Hawaiian Home Lands, Hawai`i Island Plan Final Report, by PBR Hawaii

(Honolulu, HI, 2002) 7-8, 20-22.
116 Ibid.
117 Ibid.
118 Ibid.

82

Community
Community land use includes public amenities such as parks and spaces for

recreation or cultural activities. Land sizes are not defined, and are to be

built to county standards.

119

Commercial
Commercial land use includes leases for retail and business. Land sizes are

not defined, and are to be built to county standards. The DHHL leases no

more than 1% of its land for traditional commercial or industrial uses as a

way to gain revenue.120 The DHHL General Plan lists the goal of providing

economic opportunities and business guidance for residents within their

communities. Alternative methods of gaining revenue for the DHHL are

therefore desired.121

Additional Land Use Designations
Land use designations that are not found within the Puna district include

conservation, industrial and special districts.

119 Department of Hawaiian Home Lands, Hawai`i Island Plan Final Report, by PBR Hawaii

(Honolulu, HI, 2002) 7-8, 20-22.
120 State of Hawai`i, “About the Department of Hawaiian Home Lands,” Department of Hawaiian

Home Lands, 2016. Accessed February 28, 2016. http://dhhl.hawaii.gov/about/.
121 State of Hawai`i. Department of Hawaiian Home Lands. General Plan. 2002.

Approved by the Hawaiian Homes Commission

83

SECTION IV
RESEARCH DISCUSSION

84

RESEARCH CONCLUSIONS

The research conducted in this project leads to the conclusion that a

complete change in Hawai`i’s land-use paradigms have caused severe

impacts to the sustainability of Hawai`i’s populations. Changes since

western contact have historically occurred extremely rapidly, and were done

without any coordinated long-term vision. Honolulu developed from rural to

urban, in a matter of decades, and now rural areas are facing pressures

which put it on the same track.

This project has identified some of the threats that rapid unplanned

development has posed to rural Hawai`i communities, using Puna as a focus

to find specific examples. It has investigated major land-use changes in

Puna, the factors and motivations behind these changes, and how these

changes have directly affected the sustainability of its communities. In doing

so, it has also elucidated critical design considerations which have been

either been poorly addressed, or ignored altogether. This section will

discuss and summarize the major findings revealed in the research

investigation, and will be the point of departure for the next section, which

explores specific design strategies to address major issues discussed

herein.

HAWAI`I’S CURRENT LAND-USE PARADIGM

From the time of its discovery in 1776, Hawai`i has been subjected to high

pressures of change. Its fertile lands, iconic beauty, and position in the

Pacific instantly put a premium economic value on its land to the outside

world. Foreign pressures have been unrelenting in changing Hawai`i’s land

to capitalize on the economic trends of the time, historically using imposed

political systems to do so. Most recently, Hawai`i has subsequently been a

major player in, and become fully dependent on, the fluctuating and

unreliable global markets of trade, agriculture, tourism, and eventually, real

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estate. These industries follow a model of continual expansion, and have

caused drastic land changes statewide. Despite Hawai`i’s success in such

markets, economic gains have largely benefitted only a handful of well-

suited private stakeholders who still continue to be major drivers of Hawai`i’s

economy and development today.

Hawai`iʻs rural areas have taken over as the main focus of such development

today, where growth rates are projected to be more than triple the rate seen

in Honolulu. Recent trends also indicate that in these rural areas, about half

of the total residential sales are by out-of-state buyer, who pay significantly

more. In the last few decades, Puna has experienced drastically changing

landscape and social dynamics, and its residents, have had little control in

resisting implications seen from capitalist-driven land-use and development.

With the availability of large cheap lots, growth is expected to continue.

EFFECTS TO SUSTAINABILITY

Section II of this project introduced several important concepts, which

outlined how sustainability was defined throughout this project. The terms

sufficiency, carrying-capacity, ecological footprint, and triple-bottom-line

were discussed, and can be used as measurement tools to assess the

sustainability of a community. It can also be used to help communities

formulate specific sustainability goals in the future. Contradictory to a

society that balances these concerns. It is apparent that the shift to full-

blown capitalism has caused a disregard of the sustainability indicators

listed above. The planning paradigm in Hawai`i has caused increasingly

complex issues to the population in Hawai`i.

The method of import/export economies endangers the general population,

as 85% of food is imported, and not readily available in case of natural

disaster or port shut down. It has proven to continually increase the cost of

living, leaving communities unable to have any significant role in bettering

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the situation infrastructurally. Because the real estate holds a higher value to

the state than agricultural uses, it often becomes victim to capitalism.

Habitat loss, fragmentation, climate change, and invasive species prove to

threaten the adaptability and existence of native ecologies. Continued

development of the subdivided lots in Puna would further devastate the

landscape and isolate large portions of fragile forest ecosystems.

Similar to many other indigenous civilizations, cultural practices of ancient

Hawaiians reveal an intrinsic connection with nature. Native Hawaiians

developed these practices slowly over the course of two millennia, and

allowed a self-sustaining existence on the Hawaiian Islands. The natural

landscape and culture therefore became one and the same, and it cannot be

overstated enough how such drastic land changes have marginalized the

cultural rights and identity of Native People. Adverse effects seen by

development may soon become irreversible as the natural resources and

ecologies are severely degraded. The devastation to Hawai`i’s native

species have subjugated the rights and identity of the Hawaiian people. Not

only has it caused adverse and possibly permanent damage to ecologies

which are fundamental to perpetuating and preserving Hawaiian values, but

in some cases, it has endangered their ability live their preferred lifestyle and

provide sustenance to their families.

Similar stories of colonization and development have been seen time and

time again to indigenous people all around the world. However, the rapid

pace that this occurred in Hawai`i has caused severe injustices to its culture,

ecologies, and societies. The system of perpetual growth not only

continually shifts power away from those at the bottom of the economic

scale, but it also establishes the fact that such negative implications will be

continue to be a mounting threat to Hawai`i, its people, and its ecologies. At

a certain point, there are only two pathways to break such a system: either a

total collapse, or a profound revolution.

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ACHIEVING SUSTAINABILITY IN THE FUTURE

Development should be aimed at the community level to bring well-informed

collective interests together and give power to communities built on similar

values. Local development is needed to establish a secure and healthy fresh

food supply. Green jobs and ecotourism can cater to existing market, but

also provide educational opportunities which promote and share the

importance of conserving natural and resources, and sharing an authentic

and rich cultural experience.

Drawing inspiration from traditional mindsets may be influential in supporting

modern Hawai`i residents in living a more sustainable healthy lifestyle, but

translating such ideals into a modern context is a complex task for

designers.

Grassroots movements, as well as official Hawaiian organizations such as

OHA, DHHL, The Queen Emma Foundation, and Bishop Estate are gaining

strength and influence by helping to promote these types of community

values. They have also provided assistance to at-risk populations in attempt

to integrate them into the modern society using traditional ways. Hawaiians

have also been building legislative ground toward self-determination and

control of land to benefit the people of Hawai`i. The 1993 “Apology Bill”,

formation of the Aha Council have not only shown a refined approach, but

also has built interest and awareness of everyday Hawaiians and residents.

This momentum, along with creative collaboration from architects, planners,

developers, governments, and most importantly, communities, may give way

the the type of revolution needed to achieve a sustainable future for all

Hawai`i residents.

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SECTION V
CONCEPTUAL DESIGN:

MAKU`U MAUKA

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Figure 25 : Maku`u Location Map

Replace with 11×15

Location map

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Figure 26 : Area of Study

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DESIGN INTRODUCTION

“The Maku`u Farmers Association will work together to
create a vibrant recreational, cultural and civic center that

demonstrates their cultural values and way of life to
improve the quality of life and diversify the economic base

of the community.”

122

-Maku`u Farmers Association

MAKU`U MAUKA

The Maku`u Mauka tracts present a perfect opportunity to demonstrate a

self-sustaining community. Maku`u Mauka is at the gateway of what is

considered lower Puna, which is connected to the rest of the island by only

one major street. This makes these communities vulnerable to isolation, and

the need for self-sufficiency even greater. Natural disasters have shown an

eminent threat of isolating the Lower Puna region from the rest of the island,

leaving residents unable to access goods or services.

Maku`u Farmers Association
The vision of the community is led by the Maku`u Farmers Association (MFA).

The MFA is a non-profit organization which was founded in 1986 by

beneficiaries of DHHL’s Maku`u Farmlots. Since its grassroots conception,

the MFA has been the major stakeholder in the long-term development of

the Maku`u tracts. Integrating itself within DHHL’s overarching vision, the

122 Brian T. Nishimura, Final Environmental Assessment and Finding of No Significant Impact,

report, Hilo: State of Hawaii, 2011.

Prepared for: Maku`u Farmer’s Association

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MFA aims to become self-sufficient in its production of food, energy, and

capital, using its shared cultural heritage as a guide.

123

Maku`u Mauka Tracts
The Maku`u Mauka tract consists of 640 arcres. The final report of Hawai`i

island lists this tract as viable for residential, subsistence agriculture,

community, and cultural uses. The dense `Āinaloa subdivision lies to the

Northwest border of the Maku`u Mauka tracts, and land owned by the State

of Hawai`i border all other sides. The lands owned by the State of Hawai`i

are primarily

undeveloped, and no future plans have been released.

Maku`u Farmlots Tracts
The Maku`u Farmlots, lies on the Makai side of Kea`au-Pahoa Road from the

Maku`u Mauka plots. It consists of 868 acres, and includes 127 agricultural

tracts, 181 acres leased to the Federal Aviation Agency (FAA), and 38 acres

used by the Maku`u Farmers’ association (MFA). The Maku`u Farmers’

Market, which is held every Sunday. Agricultural awards on this tract are for

supplemental agricultural use. This means that the awardees of these 5-

acre plots must utilize 2/3 of their award for cultivation, develop an

agricultural farming plan, and start agricultural activities within a year.124

The Hawaiian Paradise Park subdivision lies to the Northwest border of the

Maku`u Mauka tracts, and land owned by the State of Hawai`i border all

other sides. The lands owned by the State of Hawai`i are primarily

undeveloped, and no future plans have been released.

CONCEPTUAL DESIGN GOALS

123 Brian T. Nishimura, Final Environmental Assessment and Finding of No Significant Impact,
report, Hilo: State of Hawaii, 2011.

Prepared for: Maku`u Farmer’s Association

124 Department of Hawaiian Home Lands, Maku`u Regional Plan (Kapolei, HI, 2010), 8.

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The conceptual design presented in this section aims to build upon the work

of the MFA and provide a pathway to fulfilling its vision. It will draw upon the

research findings outlined in the previous sections, and translate theoretical

design principles into a conceptual community design.

The design seeks to enable Maku`u Mauka homesteaders to make a self-

sustaining living. This will be achieved through an organized planning

strategy and a careful use of land which allows the planning strategy to

efficiently be carried out and promoted. The following design objectives will

be fundamental to formulating self-sustaining design strategies:

• Enable cultural practices to be perpetuated and shared

• Demonstrate careful use and respect for the land and its natural

resources

• Build a sense of community identity driven by an agricultural lifestyle

• Assist new farmers and at-risk populations to be integral contributors

• Strengthen the base for local economic development

• Strive toward food and energy independence

As previously stated, this conceptual design aims to present theoretical

methodologies, rather than definitive solutions or details. Maku`u Mauka will

be used as a model to exhibit conceptual architecture, land use, and

planning principles which were alluded to in the research conclusions.

These design principles may also translate to other similar rural

communities, with the overall intent of contributing to a sustainable Hawai`i

in the future.

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CONSTRAINTS

As discussed in the research investigation, many unique social and cultural

issues make planning a complex task. In addition, there are also many

physical constraints which require careful consideration and creative

planning to achieve the community vision of the Maku`u residents.

Specific Demographics
Even when compared to other communities in Puna, the residents of Maku`u

have an exceptionally high poverty rate, with 50% of its families living below

the poverty line as of the 2000 census. At the time, Maku`u had 22

households with 59 total residents, earning a median household income of

$23,125. 87.7% of the population had received a high-school diploma or

equivalent, but none had received a higher learning degree.125

Limited Business Opportunities
The MFA lists the lack of economic opportunities in the area as a major

limiting factor to expanding operations. This applies both to farmers running

businesses, and to individuals seeking jobs. The Maku`u Regional

Development Plan also states that farmers currently do not have the

entrepreneurial skills required to independently run businesses activities, and

recommends assistance for new farmers.126

Marginal Soils
Soil on the Maku`u tracts are currently listed as marginal. This may inhibit

diversification of agricultural products and yields. Marginal soils, as well as

overgrowth and lack of infrastructure, also inhibit development in the

neighboring DHHL tracts Maku`u Makai and Keonopoko, which otherwise

125

Department of Hawaiian Home Lands, Maku`u Regional Plan, Honolulu, HI, 2010.

Compiled from U.S. census data
126 Department of Hawaiian Home Lands, Maku`u Regional Plan, Honolulu, HI, 2010.

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would be useful connections to include in a larger planning design

strategy.127

FUDS
During World War II, portions of land within Maku`u were used by the Navy

as practice bomb sites, referred to as formerly used defense sites (FUDS).

The FUDS in Maku`u, which is also known as the Former Popoki Target

Area, covers approximately 640 acres, and includes two specific areas of

concern, a bombing target area, and troop training area.128 FUDS also affect

an estimated 472 land lessees in other Hawai`i Island DHHL tracts including;

Kuhio Village, Puukapu Agricultural and Pastoral Lots, Lalamilo Residents

Lots, and Kawaihae Residents Lots. 129 Remediation and public educational

outreach efforts have been put forth, although many tracts have already

been built upon.

Existing Awards
Despite the 127 land awards already given in the Maku`u farmlots, only a

handful have actively moved onto their land. These households are mostly

concentrated along Niaulani and Kaoluwalu Streets. The empty lots are a

serious security concern to those living in Maku`u who feel their security and

safety are compromised, especially considering the high crime rates seen in

the region. Maku`u residents also want these lands to be occupied to

increase the sense of community vitality. In the Maku`u development plan,

they call for an enforcement of land provisions.130

127 Department of Hawaiian Home Lands, Maku`u Regional Plan, Honolulu, HI, 2010.
128 U.S. Army Corps of Engineers, Former Popoki Target Area Fact Sheet and The 3 Rs for UXO

Safety, Honolulu.
129 State of Hawai`i, “For the Record: Star-Advertiser Unexploded Ordnanace,” News release,

March 8, 2015, Department of Hawaiian Home Lands, Accessed February 4, 2016,
http://dhhl.hawaii.gov/2015/03/08/for-the-record-star-advertiser-unexploded-ordnance/.

130 Department of Hawaiian Home Lands, Maku`u Regional Plan (Kapolei, HI, 2010), 26.

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Figure 27 : Conceptual Community Plan

Replace with 11×15

Conceptual community design

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Figure 28 : Protracted Kuleana Areas

Figure 29 : Former Popoki Target Area

Replace with 11×15 Diagrams

Figure 30 : Distance to
Agricultural Plots

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CONCEPTUAL COMMUNITY DESIGN

LAND RE-ADJUSTMENT

Currently, the Maku`u Farmlots are subdivided into 127 5-acre lots.

However, due to water and infrastructure needs, most plots are vacant. On

the Maku`u Mauka side, only 100 acres of the total 640-acres have been

subdivided, and only 3 of these tracts have been occupied. The vacant lots

are concerns for the existing community, but reveals an opportunity to

exercise more design freedom. All undeveloped land will be re-adjusted into

a more efficient and wise use of land.

Protracted Awards
In order to avoid the moral complications of exercising eminent domain, the

re-adjustment will honor the beneficiaries already cultivating their lands in

Maku`u. They will be allowed to carry out the remainder of their land lease,

and will have the option to relocate to conform to the adjusted community

plan at will. (See Figure 28 : Protracted Kuleana Areas

COMMUNITY CENTER

The community center will be vital to carrying out the community vision of

the MFA. The future community center will be the central point, or piko, of

Maku`u and will serve to be the connection between Maku`u residents and

the greater Puna community. A permanent Community Center has been in

planning stages since 2006. It is intended to function as a “cultural learning

center” and community gathering place, not only for Maku`u, but also for the

greater Puna region. The planned Community Center aims to share the

farming lifestyle of the MFA as a way to perpetuate Hawaiian values,

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establish a stronger local food and economic base, and provide assistance

to populations at risk to poverty or homelessness.131

The community center will be situated with direct access to Kea`au-Pāhoa

Road, the only traffic artery leading to lower Puna, and will be the physical

embodiment to make Maku`u the gateway to lower Puna. It will greet traffic

and create a sense of identity for the community.

Since a design has already been in the works, this project will not focus on

specific design details or the physical design of the community center.

However, the following should be considered:

Maku`u Farmers Market
The Maku`u farmers market has been hosted by the MFA every Sunday and

has provided business opportunities to farmers and the general public.

Revenue generated by the weekly farmers market has been crucial to

building a new community center. It serves as a place for local commerce

and public engagement, and is now one of the few regular community

events.. The Maku`u Farmers Market is widely referred to on tourism blogs,

and currently has a 4.5 star rating (out of 5) on Yelp.132 A new community

center in the future will undoubtedly add to the momentum gained by the

MFA and expand the operations of the Maku`u farmer’s market.

131 Brian T. Nishimura, Final Environmental Assessment and Finding of No Significant Impact,

report, Hilo: State of Hawaii, 2011.
Prepared for: Maku`u Farmer’s Association

132 “Maku`u Farmer’s Market,” Yelp, Accessed February 3, 2016. http://www.yelp.com/biz/makuu-
farmers-market-pahoa.

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Outreach
The community center should include community agriculture components.

These can serve to host educational outreach events and programs. It will

also support transitional housing with a way to acquire food and housing in

turn for work. Food produced here can also be used to generate revenue for

community resources.

LEED Certification
If economically feasible, the planned community center should be designed

within standards to achieve Living Building Challenge or L.E.E.D.

certification. With Maku`u being a flagship agricultural community, such

recognition has great potential to bring increased awareness to the

community and their vision. Additional grants may need to be pursued, but

the may provide a valuable return on investment to the DHHL and Maku`u

community.

NATURAL GROWTH CORRIDOR

The most prominent design gesture is the natural growth corridors which

embraces the community. It integrates the natural world into the

community, a vital aspect of creating a sense of cultural connection for

Hawaiians, and establishes a balance between akua, kanaka, and `āina.

Conserve Cultural Resources
The Natural Growth Corridor will be used as a cultural resource for the

community. It aims to promote the conservation of natural resources for

ecological and cultural resources.

First and foremost, it will stop further fragmentation and better connect the

native species of the bordering areas. It will function as a conservation

areas for native plants, which can be used for native gathering rights. It will

also provide a connection to the bordering areas. The growth corridor may

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also connect to the Maku`u Makai tract, and Wao Kele O Puna tract,

providing the mauka-makai orientation.

Development Buffer
The mauka growth corridor was a direct response to the dense `Aīnaloa

Subdivision which borders the northern property line of the Mauka tract.

Rather than continuing with more dense subdivisions, the growth corridor

establishes a physical relief. Similarly, the Eastern corridor is aimed to

establish a buffer in the case of future development which directly borders

the Maku`u property. In this way, it also stops the further fragmentation of

the forest habitats, and allows some migration and dispersal routes for

plants and animals.

Eco-tourism
Pedestrian trails will create an opportunity to utilize the Natural growth

corridor as an educational tool, providing the opportunity to share the

importance of its functions with the community. Visitors will be able to learn

about cultural resource utilization, native ecological functions, watershed

management. By doing so, it will also create a supplemental source of

money for the community to use and further promote conservation.

FUDS
The most critically affected areas from FUDS activity will be covered by the

natural growth corridor and community center rather than using it for

awarded land. By placing community uses over FUDS, they can be another

educational aspect to share with the public. This will also protect famers,

some who may be using heavy equipment, from exposure to unexploded

ordinances. (See Figure 29 : Former Popoki Target Area)

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SUGGESTED PLANNING STEPS

Community-Owned Agriculture
Community-owned agriculture land can be used as a way to generate

additional revenue to benefit the Maku`u community. This type of land

currently does not exist in the DHHL land designations. Community-owned

agriculture will be owned by the DHHL, and agricultural products produced

on these lands can be sold to profit DHHL and the Maku`u community. This

type of agriculture is aimed to help at-risk populations, who can acquire food

in turn for agricultural work, although any member of the public can also do

work for food. It can also be a form of eco tourism, which generates

additional revenue by hosting activities, programs, or events which support

community education for agriculture and cultural practices. There will be a

community owned agriculture component at the community center, and at

each of the residential clusters. Additional research should be done directly

with the community to determine exact agricultural sizes and functions.

Community Leased Agriculture
Community-leased agriculture land can also be used to generate revenue for

the DHHL and Maku`u community. This type of land currently does not exist

in the DHHL land designations. Community-leased agriculture will be owned

by the DHHL, and will be available to the general public for small-scale

agricultural production. Small plots can be short-term leased at a cost

determined by the MFA. This type of agriculture aims to expand agricultural

opportunities to neighboring communities, building a bridge between Maku`u

and the greater Puna district. There will be one community leased

agricultural designation. Additional research should be done directly with

the community to determine exact agricultural sizes and prices.

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Aquaponic systems
Aquaponic systems are becoming increasingly popular for agricultural

production. Aquaponic yields are believed to be greater and more reliable,

and technological advancements are still making progress. Water usage is

also decreased due to the fact that plants are cycled on a closed system

loop, rather than daily watering of soil. This may be especially beneficial in

the Maku`u area, considering that most of the soils is considered to be

marginal. Aqua culture systems also have the potential to be simultaneously

implemented. Since traditional loko i`a systems are largely impractical along

the Puna coastline, modern aqua culture systems may be a practical

solution. Additional research should be done directly with the community to

determine feasibility and buy in.

Business Development Department
The community should create a permanent setup for agricultural products to

be sold. An established department should be created, in order to develop

and manage systems which sell food and goods on a more consistent basis.

A middle-man distributor for Maku`u farmers will allow more agricultural

products to be available to the public, and a steadier stream of income for

producers. Price limits and regulations should be set up to deter price

gauging and exploitation of the system. It is important that farmers should

not be required to sell their agricultural products through such a distributor,

but the option of doing so may help improve efficiency and production, and

farmers will be able to focus on daily agricultural activities while also

generating revenue. Farmers may still participate in the weekly farmers

markets, if desired. Currently, there is no such existing agency or system

within the DHHL, but with increased agricultural and pastoral production by

beneficiaries, it is important that there is also a system to help manage

farming outputs and provide stable business opportunities. Creation of such

a system would take careful coordination to implement, but once put in

place, it may also help with a reliable source of revenue for the DHHL.

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Figure 31 : Residential Cluster

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RESIDENTIAL CLUSTERS

Rather than a dispersed pattern of individual residences and agricultural

plots, the homesteads will be consolidated into designated clusters. Similar

to Kauhale organizations, some resources and spaces will be shared,

creating a sense of community cohesion and interaction while also adding a

sense of security. The the same overarching concepts of the larger Maku`u

community will be translated to the residential clusters, which will blend the

natural environment with the social and living spaces. Similar to the larger

community, natural growth will embrace these smaller clusters, to give a

connection to nature and some defined sense of privacy. Assuming that all

Maku`u beneficiaries choose to build a homestead, there will be a total of

908 residential units, which will be divided amongst 5 equitably spaced

residential clusters.

KAUHALE DISTRIBUTION

Efficiency
Clusters will minimize impact on the natural environment, and help to

maximize efficiency by consolidating roads and infrastructure. These

clusters can also function on a micro-grid system, rather than relying on

external electrical lines, although further research must be done to address

precise implementation. This may also be a way to share equipment, as

listed under the needs of the MFA.

Social Spaces
An ancillary agricultural office / center will be located at the entrance of each

residential cluster to help manage its community agriculture lands, and open

business opportunities of each residential cluster on a daily basis. This will

also increase connectivity of the separate residential clusters, which each

specialize in a particular agricultural activity.

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A gathering space in the piko of each residential cluster will function as a

small scale community center, and can be used for recreation, meetings,

and events. It will have a park, pavilion, and imu for .

Community Agriculture
Each residential cluster will contain some amount of community agriculture.

This agricultural land will be worked by residents living in transitional housing

as a way to trade work to aquire food and goods. Similar to the main

community agriculture plot at the community center, the residential

community plot will be used to generate income for the community. Each

community agriculture tract will grow a single designated “specialization”

plant.

RESIDENTIAL TYPES

A wider variety of residential types will be available. This is aimed at

increasing the annual awards given, as stated by the DHHL.133 Multiple

housing options will also create equitable housing opportunities to more

people of varying household incomes, and provide a way to move up the

economic ladder. Homesteaders will be provided the opportunity to chose

their housing preference, regardless of their award type.

Single Family Residences
The majority of homesteads will be single family residences. These plots will

be 20,000 s.f. which is the size that DHHL set for its residential-only

homestead awards. This design will be discussed in further detail in the next

chapter.

133 Department of Hawaiian Home Lands, Maku`u Regional Plan (Kapolei, HI, 2010).

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Low-Rise Apartments
Low-rise units can offer more affordable housing and possibly rentals.

Apartment style units will follow a similar construction of the residential

homesteads, but units will be condensed and physically connected. A

shared utility grid and less personal space will allow apartment homesteads

to be bought or leased at a lower price. An detailed design for low-rise

units will not be presented in this project. Figure xxx displays some possible

conceptual configurations which expand upon single family residences.

Transitional Housing
Transitional housing will be included in each residential cluster as a way to

integrate working members into the community. Transitional housing units

may simply be low-rise units which are slightly modified to hold multiple

residents. The MFA and DHHL will need to determine their willingness to

provide transitional housing within their communities. However, it is

intended that these units be integrated within the residential clusters rather

than isolated and disconnected from the community.

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SINGLE FAMILY HOMES

“Identifying the potential of flipping the meaning from a
negative connotation of control to a positive one of

freedom (is) interculturally made possible by the essential
simplicity and neutrality of the found object”134

Martin Despang

Figure 32

OVERALL DESIGN INTENT

In all aspects of life, Hawaiians approached their environment with careful approaches

which minimized impact to their environment and served multiple utilitarian functions.

Ingenuity was their sharpest tool. It is important that homes reflect the socio-cultural

values of the community they reside in, and enable the preferred lifestyle of its

residents. The homes in Maku`u will take a simple approach, using construction

techniques that will reduce costs and serve multiple functions. Materials will be

carefully chosen to minimize environmental impacts and aim to create a rengenerative

lifestyle. The design will provide off-the-grid capabilities by incorporating passive

design strategies and utilize the latent value of the natural elements.

134 Martin Despang and UHM SoA Arch 692, Hawaii Country Cargo Cabana, 2015, Treeitecture

Design Booklet, University of Hāwai`i at Mānoa, School of Architecture, Honolulu.

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Figure 33 : Floor Plan

110

Figure 34 : Roof Construction

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INTERMODAL STEEL BUILDING UNITS

Intermodal Steel Building Units (ISBU), commonly referred to as shipping

containers, present a huge opportunity to make a statement of embracing a

self-sustaining lifestyle and renouncing the reliance on imports. ISBU’s are

readily available and will function as a second life .

Affordability
Used ISBU’s can be bought relatively cheap, typically ranging in Hawai`i

from $3,500 to $4,000 for a 40-foot high cube. Some websites also offer

lower prices when ISBU’s are bought in bulk.135 Minimal construction

processes are needed to make ISBU’s habitable, since it is already

structurally sound. However, modifications are virtually limitless, and can

also be fashioned to higher “luxury” standards, as desired. Further cost

analysis will need to be conducted once a specific design has been

developed in order to determine exact cost estimates.

Structure
ISBU’s are made from corten steel, and are available in a variety of lengths.

Homesteads will use the 40-foot high-cubes, which have the dimensions of

40’x8’x9.5’, and weigh approximately 4.5 metric tons. ISBU structures are

also easy to expand upon and remodeled in the future, with possible

stacking options. Unaltered, they can be stacked up to 6 high, although

manipulation of the sides will decrease its strength.136

The rigid frame structure make ISBU’s able to withstand seismic loads, and

the bathroom can be used, in extreme cases, as a hurricane-safe room. In

such a situation, the structure of ISBU’s could prove to be especially useful

to protect against falling tree branches.

135 Makai Container & Equipment Solutions. Accessed February 23, 2016.

http://www.makaicontainer.com/#!container-specials/cl8c.
136 Han Slawik, Container Atlas: A Practical Guide to Container Architecture (Berlin: Gestalten,

2010), 8-26.

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Ability to re-locate
In the possible case of lava flow, ISBU’s have the ability to be retain their

structure while being moved. This allows the residents to keep, and move

belongings, and still have a habitable structure for either temporary or

permanent re-location.

Heating
Large heat gains of are one of the biggest criticisms in using ISBU’s for

building. Because steel conducts heat quickly, it is important to protect the

ISBU’s from direct sun exposure. This will be addressed through a series of

methods,

ARCHITECTURAL STRATEGY

Openings can be cut out of the ISBU’s to expose up to 60% of its entire

broad side. The steel panels cut out can then be fashioned into sliding panel

doors. This will allow the house to be totally open to the outside, or to be

totally closed for security purposes. Screen doors can also provide an

intermediate option, which allows light and breezes through, but still

physically closes off the interior. The steel doors can also protect the interior

in the case of high winds or hurricanes.

The single story plan includes approximately 1,000 square feet, and can

comfortably accommodate a family of 3, based on the average household

size of the Pāhoa census tract. It will include a full kitchen with bar seating,

living room, laundry room, outdoor dining area, A.D.A. accessible bathroom,

master bedroom, and study which can be configured for additional

bedrooms. The floor plan of the house can easily be modified to

accommodate specific needs, and the ISBU’s allow for future renovations or

add-ons, possibly even second stories.

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Passive Cooling Design
Building orientation should be the first line of defense against solar heat

gains. In order to mitigate heating, individual units will be oriented with the

broad side of the container facing south. This will minimize the low angles of

the western sun exposure, traditionally the most problematic to heat gains in

Hawai`i climates. The ISBU’s are also positioned to catch optimal cross-

breezes, with predominant winds coming from the northeast or southwest all

year round. A stilted foundation, central atrium breezeway, and elongated

envelope will also optimize ventilation throughout the building. A spray-on

insulation is also recommended to be applied to the inside of the ISBU’s. If

required, ceiling fans may also assist with additional cooling, but should be

avoided unless absolutely necessary.

Roof Uses
The roof will aid in minimizing the direct sun exposure to the ICBU’s. There

will be 3 distinct components to the roof, which will serve regenerative

functions, aside from a radiant barrier.

The largest component will function as a water catchment. It will span

across both ICBU’s and provide some shelter for the breezeway, laundry

area, and front yard. It will also catch the abundant 157 inches of annual

rainfall, which will be diverted to a 10,000 gallon storage tank in the rear of

the house.

22 standard sized photovoltaic panels will cover the remainder of the front

ICBU, and provide some overhang shading.

An extensive green roof will cover the remaining exposed roof area, and

vegetation will carry down to the sides of the ISBU’s. The vegetation can

function as personal agricultural production, such as herbs or vine growing

plants such as sweet potato. An EPDM or some form of water-resistant

barrier will need to be placed under the vegetative layer.

114

Connecting to the Outside
Home lifestyle is the biggest defining factor in the quality of life. The natural

aesthetics and that characterize the identity of the community will also be

brought within the residence itself. Panoramic views to the surrounding

forests, will provide a constant connection to place and identity. Dedicated

exterior spaces, a central atrium, and a flowing open floor plan create a light

indoor-outdoor quality which subdues the architectural structure itself.

Albezia
The use of albezia wood has the potential to eradicate the invasive plant and

use a locally sourced material. Unfortunately, it is an abundantly fast

growing plant. Although not structurally sound for building loads, it may be

a cheap source for finished surfaces that helps in the preservation of native

species.

115

Figure 35

Figure 36

Figure 37 : Atrium

116

Figure 38 : Exterior Living Spaces

117

Figure 39 : Exterior Views

118

REFERENCES

119

GLOSSARY OF TERMS

TERM DEFINITION

Ahupua`a Land division which manages natural resources, political
oversight, and population sufficiency on a community level

`Āina Land, Earth, Country

Akua Natural Gods, Deities, Spirits

Ali`i Chiefs

Canoe Plants Plants brought by Polynesian Settlers

DHHL The Department of Hawaiian Home Lands

Endemic Native species found no where else in the world

Fragmentation The splitting, severing, disconnection, or isolation of
continuous natural habitats

Indigenous Native species also found in other regions of the world

Konohiki Ali`i class who oversaw ahupua`a work and resources

Lōkahi Unity, Agreement, Accord, Unison, Harmony, Connection;
traditionally pertaining to that between Man, Gods, and
Nature

Maka`āinana Common class workers who labored in cultivation and
crafts

Makai In the direction of the Ocean

Mana Spiritual power, energy, or essence

Mauka Toward the Mountains

Mō`ī Absolute King or high ruler of an island

Moku Large land division of an island

120

Mokupuni Island

Sprawl “Unplanned, unregulated, careless development which
takes over land and resources” [Delores Hayden]

Waiwai Rich in water, resources, goods, wealth

121

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The

Role of Rural Community Colleges in Promoting Sustainable Economic Rural

Community Development:

A Multiple Case Study

Dissertation Manuscript

Submitted to Northcentral University

Graduate Faculty of the School of Education
in Partial Fulfillment of the

Requirements for the Degree of

DOCTOR OF EDUCATION

by

TERRI D. ANDERSON

Prescott Valley, Arizona

April

2017

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Approval Page

The Role of Rural Community Colleges in Promoting Sustainable Economic Rural Community

Development: A Multiple Case Study

By

Terri D. Anderson

Approved by:

Date

Certified by:

Dr. John Neal 5-30-17

Dean of School: Dr. John Neal Date

ii

Abstract

The purpose of this qualitative research study was to examine the role a rural community

college plays in the sustainable economic rural community development, using a

community-based lens that considered rural community college and rural community

context, interactions and results to answer the question: How do rural community and

rural community leaders describe the strategies needed to establish a criterion to develop

a rural community college-rural community economic sustainability? This qualitative

multiple case study took place in a rural community and its rural community college. It

involved interviewing six participants who are known as the community leaders within

the rural community college and the rural community, to obtain their perceptions about

the value of implementing an established criterion in their leadership roles to alleviate the

problems between the two in the establishment of a sustainable economic community

development in partnership with the rural community college. Participants were

interviewed in an informal setting, and further participated by explaining more fully how

they believed the partnership of sustainable economic development between the

rural

community and its rural community college in establishing a working criterion would

enhance opportunities for the community as a whole. The analysis of responses received

by all the participants revealed they all agreed that establishing a criteria of sustainable

economic community development the best approach for engaging the community in a

partnership with the community college and thereby maximizing opportunities for them

to attain success in future sustainable economic growth between the rural community and

its rural community college. In addition, all the participants expressed support for more

partnerships between the two to enable them to be better community and community

iii

college leaders in promoting sustainable economic community development. The

findings of this study implied that not all leaders were adequately prepared to work

effectively in partnership, and it is recommended that leadership roles within the rural

community and rural community college establish a criterion of engaging all leaders

within the two in on-going involvement in the acquisition of skills required for

addressing the needs and sustainable economic community development in partnership

with its rural community college

.

i

v

Dedication

.

I dedicate this to the memory of my Dad and Mom, Warren and Katie Anderson, and my

best bud of a brother, Warren S. I miss you all so much.

v

Acknowledgements

It is with the upmost respect and gratitude I pay to my wonderful Chair, Dr. Robin

Buckley. Dr. Buckley was there for me at just the right time to lead me to the conclusion

of this wonderful, and arduous, journey. She knew exactly what I needed at a particular

time, and offered sincerity, praise, toughness, and that little extra push. I still have my

nose plug and arm floaties, and am so happy to have traveled that stream with you, Dr.

Buckley. I will take you with me in my heart all the days of my life.

The NCU staff were especially professional, kind, and went out of their way to

assist me with all my crazy questions. Thank you for that.

To the NCU faculty I worked with throughout my journey who were always

generous in their encouragement and coaching, which I needed in abundance. Hands

down, the best of their kind.

To my precious friends and colleagues. You have made me feel so loved and I

will always be grateful for that.

And to the one I treasure above all else, David.

vi

Table of Contents
Chapter 1: Introduction ………………………………………………………………………………………… 1
Background ……………………………………………………………………………………………….

2

Statement of the Problem …………………………………………………………………………….

3

Purpose of the Study …………………………………………………………………………………..

5

Research Questions …………………………………………………………………………………….

6

Nature of the Study …………………………………………………………………………………….

7

Significance of the Study …………………………………………………………………………….

9

Definition of Key Terms ……………………………………………………………………………

11

Summary …………………………………………………………………………………………………

15

Chapter 2: Literature Review ……………………………………………………………………………….

17

Documentation ………………………………………………………………………………………… 17
The Public Agenda of Accountability in Higher Education ……………………………

20

Building the Public Trust …………………………………………………………………………..

25

Community Engagement in Higher Education ……………………………………………..

29

The Characterization of Rurality ………………………………………………………………..

33

The Concept of Community……………………………………………………………………….

38

The Role of Rural Community Colleges ……………………………………………………..

48

Summary …………………………………………………………………………………………………

58

Chapter 3: Research Methods ………………………………………………………………………………

60

Research Methods and Design ……………………………………………………………………

62

Population ……………………………………………………………………………………………….

66

Sample……………………………………………………………………………………………………. 66
Materials/Instruments ……………………………………………………………………………….

67

Data Collection, Processing, and Analysis …………………………………………………..

69

Assumptions …………………………………………………………………………………………….

73

Limitations ………………………………………………………………………………………………

74

Delimitation …………………………………………………………………………………………….

75

Ethical Assurances ……………………………………………………………………………………

76

Summary …………………………………………………………………………………………………

78

Chapter 4: Findings …………………………………………………………………………………………….80
Context ……………………………………………………………………………………………………

83

The Community College ……………………………………………………………………………

84

Regional Identity and Attitude …………………………………………………………………… 84
Small, Rural, Comprehensive Institution ……………………………………………………..

85

Community Attuned…………………………………………………………………………………. 85
Dynamic Approach …………………………………………………………………………………..

86

The Community ……………………………………………………………………………………….

87

Regional Identity and Attitude ……………………………………………………………………

88

A Sense of Place ……………………………………………………………………………………… 88
A Sense of Time………………………………………………………………………………………. 90

vii

A Sense of Work ………………………………………………………………………………………

90

Summary: Context ……………………………………………………………………………………

91

Process ……………………………………………………………………………………………………

92

Community and Community Leadership and Partnership ………………………………

94

Community College Regionally Driven Instructional Programs ……………………..

93

Community and Community College Presence …………………………………………….

95

Summary: Process …………………………………………………………………………………….

97

Results …………………………………………………………………………………………………….

98

Improved Economy and Skilled Workforce ………………………………………………… 98
Strengthen Community College and Community Leadership ……………………….

101

Summary: Results ……………………………………………………………………………………102
Evaluation of Findings: Chapter Four ……………………………………………………….103

Chapter 5: Implications, Recommendations and Conclusions …………………………………106
Implications…………………………………………………………………………………………….107
Limitations ……………………………………………………………………………………………..108

Significance…………………………………………………………………………………………….109
Implications…………………………………………………………………………………………….110
Recommendations ……………………………………………………………………………………119
Conclusions …………………………………………………………………………………………….123

References …………………………………………………………………………………………………………126

Appendices ………………………………………………………………………………………………………..138
Appendix A: Test Instrument: Interview Protocol…………………………………………………139
Appendix B: Test Instrument: Informed Consent Document ………………………………….141

1

Chapter 1: Introduction

The work of rural community colleges is tied inherently to their local rural

communities by virtue of the founding legislation and mission of the community college

(Miller & Deggs,

2012).

The connections, interactions, and actions of a rural community

college flow from and into the community. The college typically plays a vital role in

myriad aspects of the community (Crookston & Hooks, 2012). Rural community

colleges serve their surrounding community area in an effort to educate, to create a

trained workforce, and to alleviate outmigration. Any employment growth and decline in

a given rural county is often influenced by the larger economic and political context

(Crookston & Hooks, 2012). In this era of accountability, developing a more

comprehensive understanding of rural community colleges’ relationships, roles, and

results in their respective rural communities, especially with regard to economic

sustainability, is important. The nature of the rural community college and community

sustainable economic development and the results of these efforts are important yet

challenging to understand.

As a result of budgetary issues due to shrinking state budgets, rural community

colleges must compete for support with other social institutions and initiatives, in

particular policing, incarceration, and health care (Crookston & Hooks, 2012, p. 35). For

many rural community citizens in the United States, the standard of living and the

prospects of a better future are diminished by a lack of proximity to urban areas, such as

out-of-date technology, poor public transportation, geographic isolation, and more

importantly, a lack of comprehensive education delivery system (Goldrick-Rab, 2011).

Rural community colleges must additionally begin to prepare their community citizens

2

for the technological, economic, and societal changes that have emerged in the twenty-

first century (Ashford, 2013).

Background

In the late 1960s, rapid changes hit Arkansas State higher education. The

legislature began to look seriously at junior colleges for the state. It was deemed that

every county could have one (Higher Education in Arkansas, 2014). The main financial

burden was to rest with local communities who would have to authorize a millage to

support the schools. This became a major stumbling block until the early 1990s when

Arkansas State University recruited Dr. Les Wyatt as president (Higher Education in

Arkansas, 2014). His presidency ushered in the new emphasis on different methods of

program delivery, including distance learning and the development of community

colleges throughout the state under the ASU umbrella. These included Arkansas State

University Mountain Home in 1995 (Higher Education in Arkansas, 2014). The

community college was brought into the state-wide campus of ASU which included

appropriate funding, that the local community would contribute to but would not be

solely responsible for. As a result, enrollment went up for the community college even

though it was located in a rural community, which was a major factor in its continuing

development (Higher Education in Arkansas, 2014).

While these state level changes in community college funding were taking place,

on the national level the concept of community engagement and development has

garnered increasing interest among institutions of higher education in recent years,

especially in relation to the question of higher education’s benefit to the public (Ashford,

2013). This mounting interest is evidenced by the Carnegie Foundation’s establishment

3

of a new elective classification focused on institutions of higher learning with special

commitments in the area of community engagement. The Foundation defines such

engagement as “the collaboration between institutions of higher education and their

larger communities for the mutually beneficial exchange of knowledge and resources in a

context of partnership and reciprocity” (Carnegie Foundation for the Advancement of

Teaching, 2015, p. 1).

In this era of accountability, developing a more comprehensive understanding of

rural community colleges’ relationships, roles, and results in their respective rural

communities, especially with regard to sustainability, is important (Ewell, 2011). As a

result, rural community colleges are now being faced with challenges and conditions that

threaten their existence. Chief among these serious challenges are inadequate state

funding, shrinking student population resulting in the inability to attract and retain

credentialed faculty and staff, lower property tax values resulting in lower tax revenues,

and, more importantly, an inability to maintain technology demands necessary for the

twenty-first century (Hicks & Jones, 2011). The stability of an important community

agency and the rural community college may be questionable (Miller & Deggs, 2012).

Statement of the Problem

The rural community college and the rural community are at a crossroads as rural

community colleges face shortages in leadership, budget, faculty, and more importantly,

the students (Evans et al., 2015). The rural community college draws from its rural

community to fulfill these shortages. The reasons for the shortages have been attributed

to the additional burden of community colleges surviving in a market system that have

been catapulted in both the private sector and public institutions into a global arena

4

(Crookston & Hooks, 2012). The promise and openness of the rural community college

and the fluctuating boundaries between community and college are both its strength and

its greatest challenge (Mellow & Heelan, 2008). Rural community colleges must depend

on the rural community to be a collaborative sustainable member (Evans et al., 2015).

The problem was that there were no established criteria for leadership in strategies for the

partnership of the rural community and its rural community college in creating a

productive avenue to encourage sustainable economic between the two (Yang et al,

2015).

The specific problem of the rural community college in sustainable economic

rural community development is that some of the community college and community

stakeholders were not experienced in their leadership roles, and that the lack of an

established criterion in the economic sustainability development could be directly

affecting their potential growth (Simmons et al., October 2015). There is limited research

available that assess the quality of sustainable economic development between the

college and the community (Evans et al., 2015). The literature findings on sustainability

can be found through the fields of scientific, political, economic, technical, social, and

academic (Miller & Deggs, 2012). Although the term sustainability is a far-reaching topic

of discussion and is an issue of concern in many facets of society, the literature for rural

community colleges in sustainable economic development with its rural community has

been found to be limited due to the nature of the subject matter (Simmons et al., October

2015). Currently, few empirical studies have examined the nature in conjunction with

rural community colleges and their sustainable economic development for rural

communities to facilitate or improve this collaboration (Evans et al., 2015).

5

Exploring the connection between the rural community college and its rural

community in their understanding of sustainable economic development was utilized a

semi-structured interview process with the college leadership team and the community

leaders, along with a document review to ensure the desired results from the perspective

of all stakeholders involved (Yang et al., 2015). The context was unique enough to

warrant a careful study and the results may be informative in understanding the

relationship between the rural community college’s sustainable economic rural

community developments (Yang et al., 2015). The lack of an established criterion for the

rural community college in promoting sustainable rural community economic

development defines the problem to be investigated in this study.

Purpose of the Study

The purpose of this qualitative multiple case study was to explore the place-based

context of a rural community sustainable economic development within the rural

community college environment, the college-community interaction, and the resulting

impact on community sustainable economic development. To build an in-depth picture

of this interaction, the Arkansas State University (ASU) Mountain Home two-year

community college, which serves fewer than 2,000 students and the Mountain Home

rural community of 13,000 of people, served as the site (Higher Education in Arkansas,

2014). A semi-structured interview process with six purposively sampled leading

individuals in the rural community and the rural community college was utilized, along

with document review of memoranda of understanding, marketing materials, news

articles, policy and procedures, committee meeting minutes, and program evaluation

reports. Participants included business and industry executives and educational officials

6

from the college. Including a variety of key community leaders was important for

understanding the rural community college’s role in the rural community’s sustainability

development (Stake,

2013).

To secure the kind of information sought, open-ended questions were used in 60-

90 minute interviews. Ultimately, this research study provided a description of the case,

which is the rural community college and the sustainable economics of the rural serving

community, an analysis of the themes related to the process of college-community

interaction, an analysis of the themes related to the results of the college-community

engagement, and an in-depth understanding of the many facets and complexities of the

case and the phenomenon of interest to reveal interactions of the many constituents and

variables, the many perspectives of stakeholders on what works and what does not work,

and the multi-layered and sometimes contradictory experiences of the players in this

drama (Marshall and Rossman, 2011).

Research Questions

The specific research questions that guided this study were:

RQ1. How do community and community college leaders describe the

strategies needed to develop a rural community college-rural

community economic sustainability?

RQ2. How do community and community college leaders describe changes in

the sustainable economic relationship between the rural community college-rural

community?

7

RQ3. What do community and community college leaders perceive to be

effective strategies for promoting sustainability for the alliance of rural

community-rural community college?

Nature of the Study

The purpose of this qualitative multiple case study was to explore rural

community sustainable economic development within the rural community college

environment, and perspectives on critical factors relating to the sustainability. The intent

was to provide a view of college-community interactions and results.

According to Schwandt (2010), the interpretive researcher seeks to understand the

complex world of lived experience from the point of view of those who lived it (p. 221).

Indeed, the researcher’s concern for understanding the emic perspective and meaning

people construct as they interact in their social worlds is central to interpretive research

(Marshall & Rossman, 2011). Additionally, the approach of the interpretive researcher is

holistic (Schwandt, 2010). According to Stake (2013), the researcher must look at

interconnections and context – temporal, spatial, historical, political, economic, cultural,

social, and personal. Additionally, interpretive research is inductive and oriented toward

discovery and exploration, minimizing investigator manipulation of the study setting

(Yin, 2011).

These conceptual tenets of the interpretive paradigm translate pragmatically to

five central characteristics of interpretive research (Marshall & Rossman, 2011). These

characteristics align with the purpose of the study; to understand the meaning that

individuals construct as they live and interact with their social world; to be the primary

instrument for data collection and analysis, thus able to be responsive to the context and

8

data collection situations; to conduct research in the field to become familiar with both

the context and the participants in the study; to use inductive research strategy; and for

the study to be descriptive and interpretive (Marshall & Rossman,

2011).

The case study strategy was chosen because of its emphasis on understanding

processes and contexts (Lee & Roth, 2009). The strategy aligned with the focus of this

study, which was the interaction of a rural community college and a rural community.

Additionally, the case study strategy supported the inquiry into the relationships that exist

among an environment context, and organization, and social processes (Yin, 2011). The

key feature of the case study approach was on understanding processes as they occur in

their context rather than method or data (Schwandt, 2010, p. 233). To understand the

complex phenomenon of the case study, it was important to view it through the emic,

experiential perspective of the study participants in order to make conceptual, theoretical

sense of the case (Gall et al., 1999).

To conduct the qualitative research study, participants included six rural

community leaders and rural community college administration officials. The

participants were interviewed by the researcher. The interviews were utilized to

determine the relationship between leadership practices, rural college and community

cultures, and to ascertain the effects of the sustainable economic development.

Additionally, a review of the documents, both historical and recent, was conducted to

determine an overview of the variables of a shared vision and process of sustainable

economic development within the rural community and its community college.

Examination of the data analysis revealed several major themes and five significant

findings:

9

1. The rural community defines itself through a regional, rural lens and is

characterized by an interconnectedness of its people to the land and to the history

of the region.

2. The rural community college and the rural community invest in reciprocal

partnerships and collaborate on mutually beneficial economic pursuits.

3. An improved regional economy and skilled-up workforce are identified as

positive rural community changes, and the rural community college’s

contributions to those

positive changes are cited as a

public

benefit.

4. A rural community leadership network with increased confidence in

collaboration, understanding of the rural community assets, and efficacy in rural

community economic sustainability development is recognized as a positive rural

community change, and the rural community college’s contributions to those

positive changes are cited as a public benefit.

5. An enhanced rural community image and an optimistic rural community outlook

are identified as positive rural community change, and the rural community

college’s contributions to those positive changes are cited as a public benefit.

When these findings are taken into account with the related literature, this study offers

consideration for practice and further research among rural community college, civic, and

policy leaders.

Significance of the Study

This study is significant for two reasons: (a) the need to better understand the

rural community college impact on the local economic development in the rural setting;

and (b) the opportunity to contribute to the scholarly literature on rural community

10

college and community economic sustainability and to the scholarly literature on rural

community engagement in higher education. The understandings and expectations of the

public always matter to public institutions, but in an environment where calls for

accountability are increasing at the same time resources are diminishing, the stakes

become even higher. As a result, the rural community college and the rural community

are at a crossroads as rural community colleges face a plethora of shortages in leadership,

budget, faculty, and more importantly, the students (Flora & Flora, 2013). The reasons

can be attributed to the twenty-first century bringing the additional burden of community

colleges surviving in an emerging market system that have been catapulted both the

private sector and public institutions into a global arena (Crookston & Hooks, 2012).

Rural community colleges need to reflect on the requirements of their rural community

and be a collaborative strategic sustainable alliance member. However, these

partnerships often are job specific, narrow in focus, and are aligned with a specific

business in the community. One of the primary reasons for the lack of research data are

that typically most educational reforms do not have longevity (Caffarella & Daffron,

2013). An additional constraint is of time- and place-bound individuals needing current

higher educational training and connections to rural community businesses for

cooperative work experience. Because of the combination of these factors, rural

communities and rural community colleges are becoming isolated because of not having

greater access to what the current economic trends have to offer from the benefits that

may be afforded them – expansion in workforce development, innovative faculty

11

positions, as well as opportunities to use the community as a classroom (Torres et al.,

2013).

The nature of the rural community college and community sustainable economic

development and the results of these efforts are important to understand, yet challenging

to analyze and communicate. The “promise and openness [of the rural community

college], and the fluctuating boundaries between community and college, are both [its]

strength and [its] greatest challenge” (Mellow & Heelan, 2008, p. 14). Thus, the

utilization of systems and external perspectives, which take into account that the whole is

greater than the sum of its parts, proved to be a helpful lens for the endeavor of

understanding the impact of a rural community college on its local rural community

sustainability for development (Ashford, 2013; Hicks & Jones, 2011; Jacobs, 2012). The

rural community college, in most of rural America, is one of, if not the only, entity that

offers a comprehensive program of workforce training, yet issues of institutionalization

of reforms within an organization, particularly located in a rural community, are

problematic to sustain. There are few studies from this particular lens that have actually

examined the sustainability of reforms over a long period of time (Grayson, 2012). This

study has provided critical insight into developing a better understanding of the problems

facing the rural community college in promoting sustainable economic rural community

development.

Definition of Key Terms

Accountability and Public Benefits. The delegation of authority down the chain

of command in institutions of higher learning and public service organizations show that

it is a long distance from the initial delegation of authority starting from governors and

12

legislators to state higher education boards and ultimately to the professors providing the

instruction, research, and service that benefit the local community. Ultimately, the

benefits are for the general public and, more importantly, students, businesses,

governments, and social and civic organizations (Altbach, Gumport, & Berdahl, 2011).

Accountability Community Colleges. Degree attainment goals in the rural

community college include increasing prominence for them. However, this also creates

greater scrutiny in the form of accountability. What can offset this accountability is the

technology along with the new generation of accountability measures that are appropriate

to the distinctive rural community college mission, can be made available to meet this

challenge (Ewell, 2011).

Arkansas Rural Community Colleges. Citizens of rural Arkansas are typically

less educated than urban citizens although civic pride and sense of satisfaction with

quality of life often seem stronger in rural communities (Deggs & Miller, 2011).

Educational attainment analysis shows that given the educational opportunities that urban

citizens have, rural community citizens see education as the key to strengthening their

rural community because it is the means for improving the knowledge and skill level of

the citizens (Deggs & Miller, 2011).

Asset-Based Rural Community Sustainability. The asset-based approach to

rural community sustainability provide a common framework for linking what has been

regarded as disparate approaches to reporting on sustainable economic development in

rural community communities. The recognition that those involved have different

responsibilities for different mixes of assets is the key to understanding how information

13

and action can be combined to develop the level of sustainability that is sought (Chesson,

2013).

Higher Education Classification. Globalization has been forcing change across

all higher educational institutions. These institutions are now placing a premium on

education and degree attainment. Because higher education plays a fundamental role in

creating competitive advantages, there is increasing emphasis value of performance

assessment within educational institutions. Accordingly, many governmental agencies are

restructuring higher education system to ensure they can compete better by creating

classifications for educational institutions (Hazelkorn, 2013).

Institutional Effectiveness. The current assessment movement in higher

education appears to be heavily student focused. The current thinking is that the

usefulness of the faculty, administration, and institutional assessment, i.e., effectiveness,

depends in large part on how effectively students are assessed (Astin & Antonio, 2012).

Outmigration. The challenge facing governments is how to entice more students

to acquire a postsecondary education so that a socially optimum number of students in the

region attend college. A theory of investment in human capital, such as students, is that

they can make decisions about their level of education based on the benefits of going to

college along with the cost level (Toutkoushian & Hillman, 2012). As a result, policies

(such as financial subsidies to students or to designated postsecondary institutions) that

reduce the private cost to students of investing in human capital, which in turn would

cause some students who were at the margin for attending college to conclude that it is

now in their best interest to pursue a postsecondary education (Toutkoushian & Hillman,

2012).

14

Rural America. Since 2010, it has been determined through statistics of the

regions that unprecedented numbers of low-wage, low-skill jobs continue to be created in

rural areas of the nation due to the mobility of people. Consequently, these jobs are being

filled by culturally and linguistically diverse individuals. As a consequence of this

mobility, it has been determined that many rural areas are now becoming just as diverse

as urban areas (Reed, 2010). The changing demographics of rural America suggests that

rural community colleges with these diverse populations are more likely to hold negative

views of multicultural education.

Rural Community Colleges. College attendance stakes are higher in the twenty-

first century than ever before, both in terms of costs and the potential benefits to students

and society. To become economically self-sufficient in information driven world

economy, some form of postsecondary education is all but essential in order to thrive in

the world, not just survive (Kuh, Kinzie, Schuh, & Whitt, 2010). As a consequence,

unprecedented numbers of historically underserved students are coming to campuses,

including the rural community college.

Rural Development. Statistical data has proven that there are many rural

communities in the United States that are economically depressed since the turn of the

century. Nonetheless, while many poor rural communities are geographically isolated

with small populations, they are more likely to be rich in social capital (Ring, Peredo, &

Chrisman, 2010). As a result, the nature of the social capital in these rural communities

can either facilitate or constrain the development of business networks in their totality.

Rural community level conditions that might increase the probability of business network

effectiveness almost always include a rural community college.

15

State Accountability Standards. What has been happening to teaching over the

last decade or so bears a close resemblance to what has been happening in other areas of

the public sector, nationally and internationally. Health provision, housing, employment

and welfare services have experienced a period of restructuring, driven by many of the

same impulses and arguments as those which have become well known to people

involved in education (Mahony & Hextall, 2013). This idea has been internationally

based on the idea of taking managerial and organizational approaches developed within

the private sector and applying them to public policy. This drive provides one way of

understanding the enormous significance being attributed to the concept of standards

(Mahony & Hextall, 2013).

Sustainable Economic Rural Community Development. Rural communities

that are socially equitable and economically viable are suitably positioned to respond to

changes in the built environment, changes which ultimately impact the health of the

communities. A community is a rich source of capital, which can be used as a powerful

means to shape local solutions for sustainable economic development (Roseland, 2012).

Summary

In summary, while the rural community college’s connection to the local rural

community is largely inherent, a full understanding of community college-community

interaction and the impact of those interactions on the community as a whole is often

difficult to articulate. Given the context of today’s accountability requirements, it is

advantageous to develop a more comprehensive understanding of the rural community

college with regard to the sustainable economic development of the rural community,

both for impact and public benefit.

16

Examining the place-based relationship of a rural community and a rural serving

community college through a system lens is the focus of this study. The intent is to

provide a community based view of community college-community contexts,

interactions, and results by answering the question: How does the rural community

college impact the sustainable economic development of the rural community? The

significance of this study resides both inside and outside the community college. For

community college practitioners such as me, a clearer understanding of the impact of

rural community college endeavors on the rural community as a whole is important. For

the public and for policy-makers, a clearer understanding of the impact of rural

community college endeavors on the sustainable economic development with the rural

community as a whole is perhaps more important. Scholastically, this study may

contribute to the literature on rural community colleges and rural community sustainable

economic development and to the scholarly literature on rural community engagement in

higher education.

17

Chapter 2: Literature Review

Researchers have studied the changing role of the rural community college, the

rural community, and the challenges faced by these colleges and communities, the growth

or decline at a rural community college, as well as the growth or decline of a rural

community. The literature on sustainability is diverse and drawn from a multiple of

fields: scientific, political, technical, social, and academic. Due to the complexity of the

topic and the extensiveness of the literature on the subject, it is not reasonable to cover its

entire history or its impact globally. Rather, this review is intended to introduce

economic sustainability with a rural community-rural community college. An analysis of

the economic sustainability between the rural community and its rural community college

in identifying an established criterion in ways to partnership between the two for public

benefit is the focus of this review. The following literature review will provide a

summary of the current literature available related to this study, both directly and

indirectly.

Documentation

The review of the literature is an emergent and recursive process. A number of

keyword searches have been conducted thus far in article databases such as ERIC,

EbscoHost, FirstSearch, ProQuest Gale Academic OneFile, SAGE Journals Online and

Knowledge, SAGE Navigator, as well as Academic Search Premier and LexisNexis.

Additional exploratory searches have been in Dissertation Abstracts in ProQuest

Dissertations and Theses. Further keyword searches were utilized in the Northcentral

University Library Databases Catalog, WorldCat Catalog, Annual Reviews, Ebrary,

Taylor & Frances Online, Web of Knowledge, and Wiley Online Library. Occasionally,

18

Google Scholar, Informaworld, and the Community College Research Center will be

conducted.

Represented keywords that will be utilized during the review of scholarly

literature will include: rural areas; rural America; rural education; rural community

college sustainability development; rural community colleges; rural development; rural

sustainability development; community development; community sustainability;

economic development; rural community colleges and community sustainability

development; place-based education; place-based theory; Arkansas community colleges;

community colleges and economic development; community theory; community

development; rural community development; community development models; social

capital; community capital; asset-based community development; systems thinking;

systems theory; logic models; civic engagement; higher education; community colleges

and civic engagement; community engagement; higher education and community

engagement; accountability higher education; accountability community colleges; state

accountability standards; institutional effectiveness; higher education performance

measures; accountability and public benefit; and rural community college and rural

community sustainability.

To develop the framework for this study, four areas of literature are reviewed,

which addresses the following concepts: (a) the public agenda of accountability in higher

education, (b) the building of trust from the rural community in the sustainable economic

development alongside the rural community college, (c) the concepts of rurality,

community, and community development, and (e) the role of the rural community college

19

(U.S. Department of Education, 2016). This chapter presents the review of the literature

in these areas.

Researchers have studied the changing role of the rural community college as well

as the challenges faced by rural community colleges and the surrounding rural

communities. People living in rural settings typically have lower education completion

levels, higher than national average obesity rates, poor health, and lower than average

wage earnings (Miller & Deggs, 2012). Additionally, during the most recent United

States recession, job growth in rural America has been slow to recover and has not

returned to the levels of employment of 50 years ago (Miller & Deggs, 2012, p. 331).

Kennamer et al. noted that numerous studies have evaluated the growth of

community colleges. Community colleges are seeing the greatest surge in enrollment

since the baby boomers of the mid-1960s and early 1970s (Kennamer, Katsinas, Hardy,

& Roessler, 2010, p. 13). Two-year colleges, as a whole, project a 20% increase in

enrollment around the nation over the next decade (U.S. Department of Education,

National Center for Education Statistics, 2012). Community colleges along with rural

community colleges are typically the first to venture beyond the predictable borders of

higher education because they seek to fulfill their open-door mission and tradition of

community service (Kennamer et al., 2010, p. 15). Kennamer et al. also found that by

Carnegie classification, 42% of 2.3 million new students in 2009 currently are or will

enroll in community colleges, while the remaining will enroll in the four-year university

(p. 13).

Hicks and Jones (2011) notes that the rural community college is student-

centered, without having large numbers of support staff that would be commonly seen in

20

4-year institutions. There is a willingness on the part of employees to extend themselves

beyond what those of larger institutions would do. Therefore, employees at rural

community colleges are found to be student-focused which supports the mission

statement of their college. Helping students succeed motivates the employees to do the

same. This is the two-factor theory supported by Herzberg, which states that people

experience a high or pleasure from the satisfying experience working the students and

their goals for college success (Hicks & Jones, 2011).

The Public Agenda of Accountability in Higher Education

Public accountability literature reflects the public’s growing concern regarding

returns on an investment in higher education. In the 1990s, accountability requirements

began to emerge as a key challenge for community colleges and all post-secondary

institutions as government officials, accrediting agencies, and public constituents began

to call for greater accountability from institutions of higher education (U.S. Department

of Education, National Center for Education Statistics, 2012). Burke (2005b) described

the accountability pressures on higher education in America as an accountability triangle

of three entities – state priorities, academic concerns, and market forces.

This quest for evidence of institutional performance, individual and societal

benefit, quality, efficiency, and cost-effectiveness was driven, according to Murray

(2010) by the increasing complexity and cost of public higher education (p. 51). Laanan

(2011) also noted that the decreasing availability of state funding, concern over the

academic and technical preparation of the American workforce, as well as interest in

higher education’s role in society has led to the need for better linkages between public

post-secondary institutions and the local community. Krueger and Casey (2014)

21

observed that whether [accountability] is an asset, a tool, or a bludgeon, every indication

is that accountability measures are increasing and are here to stay (p. 56).

It was not until the turn of the twenty-first century that the rules of accountability

for higher education began to change to a paradigm of state level accountability,

according to Flora and Flora, (2014). Myriad federal reports called for new

accountability models, including the 2004 Measuring Up report (National Center for

Public Policy and Higher Education, 2014), and the 2015 Business and Higher Education

Forum report (American Council on Education, 2015). They called for an accountability

model emphasizing public agendas and return on investments, not only for student

enrollments and institutional processes, but on student learning and educational

attainment criteria Flora and Flora, (2014).

The literature reflected the emergence of accountability as a tool for state policy

initiatives, as Flora and Flora, (2014) noted that the focus of accountability is not what

state institutions do, rather how the state and its citizens benefit with a more capable

workforce and productive economy (p. 12). Chambers (2014) noted that while

accountability, access, and quality framed higher education public policy for over

50

years, a new outside-in aiming of the agenda was emerging, focusing not on the

institution as the unit of performance but on society’s needs from higher education, and

on a desire to measure progress to meet a public agenda. Chambers (2014) identified

seven specific elements of this new public agenda: (a) high school graduates with

increased academic preparation for college-level work, (b) high school graduation rates

be increased, (c) racial and economic lines among high school students need to be

decreased, (d) college affordability through need-based aid, tuition levels need to be

22

maintained at a reasonable level, (e) the number of science, engineering, and math related

disciplines should be doubled, (f) college preparation, retention, and degree attainment

must be increased for all students, (g) work to increase the quality of student learning

outcomes for college graduates (p. 25).

Chambers (2014) stated that the emergence of this new public agenda for post-

secondary education used a functional and utilitarian framing, focusing on national and

state-level outcomes and investment strategies. The United States government’s stake in

higher education accountability was made clear in the Spellings Commission report

(American Council on Education, 2015), which called for more access to information

about colleges and universities due to a lack of pertinent data and accountability that

could hinder policymakers and the public from making informed decisions, resulting in

higher education becoming inhibited from demonstrating its contribution to the public

good. Thirty years ago, Bowen (1977) sounded the same call when he stated that as

educators, they could not ignore the call for accountability. Bowen (1977) believed that

society needed facts and reliable judgments about the outcomes of higher education.

What was troubling for him was that if educators could not meet this need, decisions

made about the allocation of resources to higher education could be made on the basis of

incomplete criteria, which Bowen believed would be biased toward the tangible, the

quantifiable, and perhaps the irrelevant.

Perhaps the strongest statement about mismatched accountability measures came

from the National Commission on Community Colleges’ report (2014), which called for

community college leaders to develop new accountability measures that better assess the

unique and varied missions of the community college. The report contended that

23

contributions of community colleges are not easy to document and that traditional

performance metrics often reflect the culture of four-year institutions rather than the

culture of community colleges. The Commission stressed the complex missions of

community colleges within their local communities that the contributions of community

colleges to their communities are difficult to document, and the effort to do so is

hampered by a lack of appropriate accountability metrics.

Soots, Sousa and Roseland (2010) noted that the political and economic

restructuring since the mid-1990s has had a profound impact on the social and economic

economy pertaining to sustainable economic development. This has resulted, they stated,

in non-profits, as well as educational institutions alike, taking on a greater responsibility

in address the social needs and fluctuations of the local marketplace. Furthermore, it was

noted that there was an increasing need for an inter- and cross-disciplinary approach to

the complex social, economic, and educational sustainable problems that are facing rural

societies today.

As a result of the frequency and urgency of the sustainable problem, regions

around the world are now attempting to transition to the knowledge based economy in an

effort to addressing these complex changes. Knowledge production and utilization as

well as innovation and social cohesion, are some of the key processes in addressing the

issues in long-term community sustainable economic development. To this point, Butler

et al. (2015) addressed the importance of education being a prerequisite for promoting the

behavioral changes. Additionally, it was determined that to provide citizens with the key

competences needed would be the transition tools needed to achieve sustainable

economic development. The success in revising unsustainable trends will, to a large

24

extent, depend on high quality education with the key processes in the sustainable

development phase.

Knowledge based economies are not to be considered a one size fits all deal to

planning sustainable development, according to Gismondi and Leon (2012). New skills

and information will be needed to foster growth and that will depend on a number of

local factors and variables, including size of the community; existing infrastructure and

partnerships within the community; the depth of vision that is shared throughout the

public, private and community stakeholders; monetary commitment; and the ability of the

community to attract and retain the highly skilled workers. It is therefore incumbent for

the rural community to invest in the local citizens through education, training and lifelong

learning that would be required, such as including with the economic, public, educational,

civic and voluntary spheres. Therefore, frameworks that emphasize educational

opportunities as strategies for economic growth and community wellbeing will be the key

to the success in planning for knowledge based economy.

Gilchrist and Taylor (2016) discussed the need for community college leaders to

work with local and state leaders to define a rubric which would measure the community

college’s impact on economic, workforce, and community development. They

maintained that, with current performance indicators, the real value a community college

adds to its locality is missed. Moreover, they mused that it would be even more difficult

to measure how different a community would be without its community college. Another

advantage of rural community colleges for the rural community arise from their multiple

missions which may result in the presence of local kinship networks, according to

Howley, Chavis, & Kester (2013).

25

In this accountability milieu, the American Association of Community Colleges

(2011b) responded with a new set of community college accountability measures, entitled

“The Voluntary Framework of Accountability”. The association noted that the metrics

are espoused to give community colleges what many believe have long been lacking in

reporting their successes to the public and policymakers. The metrics cover student

progress and outcomes tracking, career and technical education enrollments and

outcomes. Adult Basic Education/GED tracking and Student Learning Outcomes (in

progress). Fain (2011) noted that community college leaders say the measures are fair

after long arguing that they are fundamentally different from four-year institutions and

should be judged by different yardsticks.

Building the Public Trust

Identifying the public benefits of higher education and communicating those

benefits to the public have been shown to be critical components of building the public

trust. Three decades ago, Bowen (1977) wrote a classic work Investment in Learning in

which he discussed the purposes and outcomes of higher education as being both

individualistic and collective. He proposed that while Americans have historically leaned

toward an individualistic purpose for education, there are inevitable social functions of

higher education, such as agents of social change and agents of social stability (p. 22).

Bowen (1977) observed that the public or social benefits of higher education are often

subtler and difficult to evaluate than individual benefits, but are, nonetheless,

undoubtedly present. The social benefits he identified included quality of civic and

business life; effective citizenship and responsible leadership; community spirit;

improved home care and training of children; good public health; public policy change;

26

specialized talent, technological knowledge, and professional earning power; refinement

of conduct; cultural heritage preservation; artistic creativity; social problem solving;

economic growth; and military power (p. 45). Nonetheless, Gilchrist and Taylor (2016)

believed that while public benefit or public good is an abstract concept, it manifests in

three primary ways, (a) by economic measures, (b) as a civic resource, and (c) as an

ethical code.

Economic growth is distinguished from economic development, according to

Adelman (2010), in that growth is concerned with Gross Domestic Product (GDP) and

individual earnings or income (W-2), whereas economic development is a combination of

changes in production patterns, self-sustaining growth, institutional change, technological

upgrading, and widespread improvement in the human condition. All of the literature

reviewed in the human capital and economic growth section was concerned with

economic growth that is often measured by aggregate income. The conceptual

framework for this study is sustainable economic development because this can be an

ideal lens for understanding the impact of a diminutive income on human survival or the

things humans are able to do or become in society while still maintaining sustainability in

their local environment.

The distinction between economic growth and sustainable economic development

is important because economic growth can occur to the income scale only, while

sustainable development refers to growth that is spread out and shared. The Spellings

Commission (U.S. Department of Agriculture, Rural Development, 2013) report called

for a postsecondary education system that would be accessible for all rural community

citizens, or a higher education that could be widely shared. Hence, changes in higher

27

education, it was believed, need to be directed at sustainable development, not economic

growth. But why is sustainable development significant for rural development? Poverty

remains a predominantly rural problem with a majority of the nation’s poor located in

rural areas, according to Phillips and Pittman (2014). However, in rural areas, the

connection with social and economic dimensions appears particularly evident, and their

joint consideration in a sustainable analysis seems an obvious consequence. This

interaction is described in the analysis of different case studies reported by Antonio

Andreoni (2011), who shows that rural systems are more resilient in comparison with the

urban areas, since they can better maintain their equilibrium with the economy and bear

the effects of economic shocks.

In the opening decade of this century, public benefit emerged as a central focus

for higher education. Community college leaders, and leaders in all realms of higher

education, were called upon more than ever to engage their external constituents to

discern public needs, establish priorities, align college mission, assessment and reporting,

so that their efforts would not only be effective but also understood. Institutions began to

find that improving the public’s understanding of the work and contributions of post-

secondary education was no small task, requiring reciprocal communication, including

continuous gathering of public feedback and opinion and continuous communication

from institution to constituents.

In the community college arena, building public support was viewed as one of the

six key policy levers of the Achieving the Dream – Community Colleges Count initiative,

led by the Lumina Foundation (2012). The initiative focused on the benefits of an

associate degree, including the individual benefits of increased earnings, improved health

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care, leisure time, and opportunities for the next generation. Additional benefits included

the community for economic development, lowered poverty rates, reduced

unemployment, reduced reliance on social safety net programs, and overall decreased

demand on public budgets. Public-trust building remains central to the initiative’s

mission. Another advantage of rural community colleges for the rural community arise

from their multiple missions which may result in the presence of local kinship networks,

according to Howley, Chavis, and Kester (2013). They noted that because rural-serving

institutions address a range of educational and economic development needs, especially

for the local community, they have often served several generations of community

members at one time, thus creating unique family environment(s) that has shown to

support student development.

At the national level, American Association of Community Colleges (2012)

acknowledged the need for increased communication as it launched a listening tour in

2011, traveling across the nation in preparation for its new 21st century initiative

Reclaiming the American Dream (Reclaiming the American Dream (2012). Public

communication at the local level by college presidents and other community college

leaders was also underscored as an important aspect of building and maintaining public

trust. Spilde (2010) encouraged legislative advocacy and relationship building. Duncan

and Ball (2011) cited accountability as a pillar of effective advocacy, contending that

college presidents should work closely with elected officials at all levels.

Adelman (2010) discussed the strategic cross-sectorial alliances that are

productive allow the opportunities for shared knowledge, reallocation of scarce resources

to maximize organization (individual or collective) capacity, and shape expansion

29

through systemic planning and performance monitoring. The implementation of new

knowledge through networking enhances the successful strategies throughout the

organizations and builds satisfaction across the community (Hicks & Jones, 2011).

The social capital that strategic cross-sectorial alliances create can be difficult to

measure, as Gismondi and Leon (2012) points out. They describe it as to the frequency

and the value of specific transactions that can occur as a result of relationships between

groups and the people surrounding them. For instance, community owned businesses

tend to bring people together more frequently, it was noted. Investors, workers, business

owners and a variety of support networks (customers, government, family, education, and

media) can help find good employees which would result in possibly reducing advertising

costs because of the network of word of mouth. Gismondi and Leon (2012) believe that

this would help identify investment opportunities, connecting investors and

entrepreneurs. Additionally, established communities are known to be sources of social

capital and as the well of democratic action. It is these social factors, rather than the

stock of capital, for instance, that can strengthen local economies.

Community Engagement in Higher Education

According to Phillips and Pittman (2014), the concept of community engagement

emerged out of the interest in higher education’s accountability to its public, acquiring

such attention in post-secondary education as to be called a movement. Researchers

exploring the concept of community engagement in higher education have offered

various definitions, views, and benchmarks, but with a common thread: exploring the

interactions between college and community. Lawson and Elwood (2014) outlined

common forms of college-community engagement as being (a) service learning, (b) the

30

local economic development, (c) a community-based research, and (d) social work

initiatives. Ramaley’s (2009) definition highlighted the common thread of genuine

mutuality, that is engagement is characterized by shared goals, a shared agenda, and an

agreed upon definition of success. The resulting collaboration or partnership is mutually

beneficial to all and is likely to build the capacity and competence of all parties.

The most recognized benchmarking for community engagement was the

framework established by the Carnegie Foundation for the Advancement of Teaching

(2010) for a Community Engagement classification. Defined by Carnegie (2010) as the

collaboration between institutions for the mutually beneficial exchange of knowledge and

resources in the context of partnerships and reciprocity, the Community Engagement

classification was outlined further in a press release about the program: Curricular

Engagement: described teaching, learning and scholarship to engage community, faculty,

and students in a mutually beneficial and respectful collaboration. These interactions can

address community-community college identified needs, thus enhancing community

wellbeing, deepen students’ civic and academic learning, and enrich the scholarship of

the institution. Outreach and Partnership Engagement: described two related

approaches to community engagement. The first would focus on the provisions of the

institutional resources for community use along with benefits to both campus and

community. The second would focus on collaborative interactions with community and

campus for related scholarship for the mutually beneficial exploration, exchange, and

application of knowledge, information and resources (research, capacity building,

economic development, etc.) (para. 5).

31

The advent of this new Community Engagement classification for colleges and

universities was perhaps the most accurate gauge of the significance of the community

engagement movement. Through an elective application process offered to college and

universities for the first time since 2006, 76 institutions were chosen for the inaugural

classification. Of those 76 institutions granted Community Engagement classification

status, four were community colleges: Chandler/Gilbert Community College in Arizona,

Kapolei Community College in Hawaii, and Middlesex Community College and Bristol

Community College in Massachusetts.

In the 2008 Community Engagement classifications, 119 institutions were

successfully recognized with the Community Engagement classification. In 2010,

115

colleges and universities were selected for the Community Engagement classification.

Community engagement took hold as a movement inside institutions as well. Colleges

and universities began developing institution-wide infrastructures to support community

engagement efforts. Howley, Chavis, and Kester (2013) called for both academic and

administrative infrastructures in order to respond interactively to the surrounding

community. To that end, colleges and universities developed engagement plans;

established new outreach and engagement administrative structures; generated

engagement benchmarks and outcome indicator categories; created websites; held

conferences; expanded service learning, economic development, community-based

research, and social work initiatives; and developed new community engagement

journals. Simpson’s (2011) research study of 13 community engaged classified

institutions revealed that the perceived benefits of community engagement practices to

the community and to the institution were significant enough to warrant mention.

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The majority of community college community engagement related writing and

resources primarily addressed two aspects of the community engagement concept –

service learning and partnerships. This observation was supported by the Campus

Compact IOEP which identified experiential pedagogies and service learning as key

activities, and by the Community College National Center for Community Engagement

(formerly the Campus Compact National Center for Community Colleges), committed to

civic engagement through service learning (American Association of Community

Colleges, 2011a).

The literature reviewed supported the idea that community colleges have been

viewed as intrinsically more community-focused than their university counterparts, and

have been often seen as having the most successful community based programs in the

United States, as noted by Warburton (2013). In fact, Bell (2016) commented on the

range of higher education – community engagement as being at one end of the spectrum

is the huge community college network, as its title implies, intimately related with both

local economies and political preferences. At the other there is the pinnacle of private,

research-intensive universities, often having fraught and tense relationships with their

immediate localities. Yet, even with this acknowledgement of community colleges’

connections to their communities, community colleges have remained largely outside

scholarly discourse about community sustainability. As the Carnegie Foundation (2010)

found, today’s community college and community-based training system need to provide

responsive training in various delivery modes (traditional, hybrid, and online courses and

training) that reflect the needs and demands of the community and respond to the needs

of industry and business in sustaining community development with the community

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college. Maurrasse (2012) noted that one of the greatest ironies of the burgeoning

national movement around higher education/community partnerships regarding

sustainability is the limited involvement of community colleges. He went on to

encourage community colleges to get involved in the community college engagement

movement and to share their deep knowledge of working successfully with local

communities.

The Characterization of Rurality

A characterization of rurality must begin with an acknowledgement that the

meaning of rural is more varied than might be expected. In some situations, rural has

been defined by data, and in some situations, rural has been defined by image. Blakely

(2007) noted that most people are not concerned with what is officially rural, but rather

understanding the various ways in which rural is defined is a critical step.

Multiple definitions for rural have been used by the government for statistical and

funding purposes, and debates over appropriate size limits have been ongoing, according

to Cromartie and Bucholtz (2008); Flora and Flora (2013) found over 15 different

definitions of rural used by various federal programs. Cromartie and Bucholtz (2008)

described the array of definitions as dizzying. The U.S. Census Bureau divides the nation

into urban and rural. By the Census Bureau definition in 2010, rural areas comprised

open country and settlements with fewer than 2,500 residents located outside urbanized

areas and urban clusters. According to the U.S. Census Bureau (2013b) system, in 2010,

19.3% (59.5 million) of the population in the United States was deemed rural. But

debates over the appropriate size limits are ongoing, as noted by Cromartie and Bucholtz

(2008). Explaining this characterization on its webpage “What is Rural?” the United

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States Department of Agriculture (U.S. Department of Agriculture, 2012) stated that in

2003, the OMB designated non-metropolitan areas as either micropolitan – a non-metro

county with an urban cluster of at least 10,000 people; or noncore – neither metro nor

micro. Outside the OMB, both these non-metro areas have been generally considered

rural

A rural distinction, or any place-based distinction, of the nation’s colleges and

universities did not exist in higher education’s Carnegie Classification system until 2006.

This revision of the Carnegie Classification (2010) added setting and size classifications,

including for two year institutions, as rural-serving, suburban-serving, and urban-serving;

and size distinctions of very small, small, medium, large, and very large. The addition of

these categories was largely credited to the work of Stephen Katsinas and John Friedel

(2010), and David Hardy (2008), who advocated the utilization of the new classification

system to distinguish rural, suburban, and urban institutions and their similarities and

differences.

These variously defined classification systems revealed, according to Flora and

Flora (2013) researchers attempting to delineate rural as distinguished from suburban and

urban, so as to communicate a sense of their scale and scope based on the numbers of

people living in an area. Rural in this sense referred generally to a small population

available to interact within a large space. An alternative method, again according to

Flora and Flora (2013) of defining rural has been termed imaged-based. Often historical

and somewhat stereotypical, these image-based definitions of rural often have been

equated with small size, isolation, homogeneity, and a strong sense of local identify.

Davis and Marema (2008) noted that, even though America is no longer a predominantly

35

rural nation, rurality lingers in the nation’s DNA. It is both a storehouse of values and

the point of origin for the national mythology. Shortall and Warner (2012) observed that

rural areas have been seen as both idyllic places of peace and backward areas that shunt

the lives of rural people.

The media has used rural images to suggest simpler, slower, rustic, or pastoral

impressions, according to Blakely

(2007).

And proponents and critics have been found

conversely, observed Merrett and Collins (2009), to maintain that rural places are either

idyllic or outmoded. Indeed, researchers have found rural America to be diverse, as

noted by Davis and Marema (2008) and Flora and Flora (2013, whereby its communities,

history, resources, and issues have often diverged. For instance, Davis and Marema

(2008) debunked three myths about rural America – that there is a single rural America,

that isolation alone makes rural places and people different, and that rural Americans are

mostly farmers. At the time of their writing, they pointed out that there was more ethnic

and racial diversity in rural America than was generally recognized, with significant

population clusters of Native Americans, African Americans, and Mexican Americans in

various rural regions of the country. They explained that rural America was not as

geographically isolated, intellectually deprived, nor trouble free as rural stereotyping

would portray.

Many rural Americans, living adjacent to 80% of the U.S. highway systems,

commuted to metropolitan areas for work, shopping, and medical services. Many rural

Americans made excellent use of media and telecommunication technology. Yet,

according to Davis and Marema (2008), many rural Americans did face geographic

separation, lack of transportation, persistent poverty, and a high incidence of drug and

36

alcohol addiction. Finally, they clarified that more rural Americans were not farmers,

since less than 2% of rural residents claimed the farm as their primary source of income.

Shortall and Warner (2012) maintained that because of the significant changes in

rural America since the Industrial Revolution and the resulting differentiation of rural

realities, the concept of rurality is necessarily contingent. Fluharty stated it this way in

his 2012 testimony to the Agriculture Committee of the U.S. Senate, that there is no one

rural America, rather, it is a diverse, dynamic and every-changing landscape. These

various nuances of rurality converged at one significant point; that the meaning of rural,

both its denotation and its connotation, has been important to understand, one rural

community at a time. Geographic locations, sparse population, and local identity may

have been oft-defined factors of rurality, but for the purpose of this study, it is important

to understand the myriad nuances of rurality as context for understanding rural

community economic sustainability and for understanding the role of a rural community

college in that sustainable alliance.

Miller and Deggs (2012) pointed out, to fully recognize the challenges that rural

community colleges face it is important to understand the characteristics of a rural

environment, especially considering 85 percent of the nation’s geography consists of

rural areas where 65 million reside. According to Gillett-Karam (1995), Rural America

consists of low population density, low total population, low-per-capita income, low

levels of educational attainment, slow job growth, high poverty, high unemployment, and

high rates of illiteracy. Although rural areas share many commonalities, they vary in

their geographic locations. For example, Mahaffey (2009) found that rural areas can be

37

on southern reservations, in Appalachian mining communities, or next to affluent

suburbs.

Many of the concerns and issues that rural residents face is a result of poor

academic preparation before and during high school, which can be seen in both high

school graduation rates and rural college enrollment rates. According to the Alliance for

Excellent Education (2010), more than one fifth of the nation’s two thousand poorest-

performing high schools are located in rural areas. Additionally, Johnson and Strange

(2009) found that one in five rural children live in poverty, leading to higher high school

drop-out rates and lower college enrollment rates. AEE (2010) found that one out of

every four rural high school students fails to graduate.

According to Shamah (2009), rural parents often have conservative values, have

lower educational expectations, and are less supportive of their children in earning a

college degree. Since many rural parents lack a college degree themselves, their children

also hold lower educational and occupational aspirations than their urban peers. (Graves,

2011) states that many rural children do not have parents with colleges degrees to help

them navigate the maze to college. Rural parents worry about the costs, while many do

not see the eventual payoff of a college education, so they sometimes push back the idea.

If students do not have support from a mentor or do not feel comfortable discussing their

educational or career expectations with their parents, Graves (2011) believed they are

more likely to become discouraged and drop out of high school or become involved with

drugs and alcohol.

The evolution of rural America from homogeneous, agrarian-based communities

to widely diverse communities often dominated by nonfarm activities such as

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manufacturing, services, mining, and government operations has complicated rural policy

discussions. More recently, the goals, resources, opportunities, and challenges of rural

communities have diverged (Flora & Flora, 2013). Flora and Flora (2013) contended that

the differences among rural communities have often been more distinct than the

differences between rural communities and their urban counterparts. Some areas of rural

America, faced with population and economic decline, have focused on economic

stimulation and community growth, while other areas rich in natural amenities have

focused on responding to the rapid population growth, through the provision of roads,

services, and schools. Whitener and Parker (2007) noted that given the various

circumstances of rural communities, rural policy for the future will need to encompass a

broader array of issues and a different mix of solutions.

The Concept of Community

The concept of community has been not only closely associated with the concept

of rural, but also like rural, it has been defined in myriad ways. Flora and Flora (2013)

observed that while sociologists use the term community in many ways, they ascribe to

three defining aspects of the term community, (a) a place or location, (b) a social system,

and (c) a shared, common identity. They maintained that a shared sense of place,

involving human, cultural, and environmental relationships is often central to the concept

of community (p. 15).

The concepts of rurality and community previously discussed emphasizing place

based context, social interaction, and local solutions, provide the backdrop for a review of

community development models. In 1980, James Christenson opened the book

Community Development in America with the sentence: “The community development

39

profession is coming of age” (p. 3). Christenson went on to note that in spite of the

growth in community development activities, the terminology and the profession of

community development remained ambiguous, as it does today. A new mode of

community development, promoted by Flora and Flora (2013), advocates an asset based

premise to community development. They have found that every community, however

rural, isolated, or poor, has resources within it. When those resources are invested to

create new resources, they then become capital. Flora and Flora affirmed the importance

of building on strengths, recognizing what is working, and seeking out success factors in

community development studies.

According to Kanter (2011), alliance building and maintenance of the

relationship(s) can be problematic given the essence that collaborative organizations are

working to develop an external (virtual) open and living system that requires structures,

processes, and resources to sustain it. These living systems require monitoring and

strategies to effectively work for individuals or teams towards common goals for each

organization. Kanter (2011) noted there are signs where instability occurs and it takes

individuals and leadership to address the fragile relationship. Fundamental practice of

collaborative leadership is to have instilled in the cooperative relationship the process for

building, networking, and moving forward the vision of the mutual benefits and

individuals’ goals for each organization(s) involved in the relationship to realize real

sustainable economic development.

Developing cooperative partnerships and efforts toward joint socio-economic

resources and shared opportunities could provide for education, employment, and

community or recreational events for family members. According to Flora and Flora

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(2013), the obstacles facing rural communities is the lack of development of talent for

members of a rural community because many rural communities have not yet learned to

make the most of their young population and their talents, especially those who began life

in impoverished surroundings. They go on to say that rural communities have

characteristics of a country setting with agricultural-based economy and removed from

city conveniences and populations. Building strong relationships in the community to

benefit the community members can lead to a sustainable learning organization and

community.

Researchers exploring the concept of community engaged in sustainability

associated with higher education have offered various definitions, views, and

benchmarks, but with a common thread – exploring the interactions between community

and college. Donaldson and Daughtery (2011) outlined common forms of college-

community engagement as local economic development, community based research,

service learning as well as social work initiatives. Their definition highlighted the

common thread of genuine mutuality, which is engagement that is characterized by

shared goals, agenda, and agreed upon definitions of success. The resulting collaboration

would be mutually beneficial and likely to build the capacity and competence of all

parties involved. The authors shared a service learning model that progresses into a

graduate- level social work macro practice course. This model would give explicit

attention to respecting the dignity and worth of each individual by sharing the power and

developing collaborative relationships between students and community residents where

both are serving and learning together.

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A learning community is not just an education institution where learning occurs,

noted Bragg (2011). In fact, a learning community is not necessarily associated with

formal education per se. Learning communities typically integrate multiple disciplines;

learners are taught in a cohort (a specialized group of individuals taking common

courses); and there is a concerted effort among all stakeholders to assist all participants in

building a unique culture that includes the formal educational environment as well as the

social one. Learning communities typically have two common features: they link classes

together to build relationships with different subject matter to provide coherence for

students, plus they build both academic and social communities for students and faculty

by enrolling them together in large blocks of coursework.

Based on a study by Etuk, Keen and Wall (2012), between the fall of 2011 and the

spring of 2012, graduate students and a faculty member from the Oregon State

University, engaged in an effort to identify the factors associated with rural community

vitality. These factors were grouped into five broad categories by Etuk, et al. They

reflected the aspects of communities and their contexts which Etuk, et al. deemed pivotal

in the collective change process. The factors were: (a) conditioning influences, (b)

capacity, (c) resources, (d) processes, and (e) external conditions. Recognizing some

important key features of the community and external conditions that play a role in that

transformation, the study noted that in order for rural communities to become more vital,

they will have to go through some sort of collective change utilizing these five categories.

Using past research, the study by Etuk et al. (2012), continued to address

particular attributes of rural communities present that could be worth cultivating if

vitality is to be attained. In particular, the study noted that vital rural communities have

42

low levels of inequality and high values. That is, a diverse economic base with farming,

manufacturing, health, and trade service industries; values that make them proactive,

persistent, learning-oriented, diversity-oriented. Additionally, these vital communities

have a willingness to invest in the community. The study indicated that today’s vital

communities are likely to have demonstrated their resilience in the past, which suggests

that past successes positively influence future successes or that current success can build

future successes.

The study of Irwin et al. (2010) statistical analysis of rural counties in the United

States found that income inequality was a significant negative predictor of rural

prosperity. In this particular study, it was found that rural prosperity was defined by an

index of four indicators: unemployment; high school dropout; poverty; and housing. In

rural counties where income inequality was high, prosperity tended to be low. In rural

counties where there was more income homogeneity, or where the relatively greater

income equality existed, prosperity tended to be greater.

It is unclear why this is the case, although Irwin et al. (2010) hypothesized that

this relationship between inequality and prosperity suggested the importance of building

a larger middle class in the rural counties through upward mobility to reduce household

income inequality. While these findings provided solid evidence as to a relationship,

more research must be done to understand the implications as well as the underlying

reason for the relationship between inequality and prosperity in rural counties in the

United States.

In addition, Irwin et al. (2010) found there were certain features of an economic

base related to the prosperity of rural counties in the United States. The conclusion of the

43

study found that prosperous rural counties tended to have more non-farm private sector

jobs. By breaking out private sector jobs by industry, Irwin et al. (2010) were able to

isolate the types of jobs that are associated with prosperity. Counties with prosperity

tended to have more independent manufacturing jobs than non-prosperous counties.

Independent manufacturing, an industry that is not tied to local resources and

inputs, consequently, had more location choices. These independent manufactures

include paint manufacturers, automobile factories, and apparel manufacturing. The study

also found that the prevalence of jobs in secondary and tertiary private industry, such as

white collar industries, health care, trade, professional services, and real estate, were

linked to prosperity. Irwin et al. (2010) found that prosperous counties had more

secondary and tertiary private industry jobs than non-prosperous counties. Interestingly,

the study found that the number of resource-based manufacturing, food, lodging, mining,

and government jobs per capita had no statistical significance in relationship to prosperity

in rural counties in the United States.

The findings of Irwin et al. (2010) noted values were present in vital rural

communities, namely being proactive, have a diverse population, being persistent,

learning oriented, and a willingness to reinvest in the community. Irwin et al. (2010) past

research has revealed that globalization has changed the landscape for many rural

communities. The research suggested that for rural communities to succeed in the

increasing globalization economy, they must compete not only with other rural

communities, but also with urban areas. From this research, infrastructures including

bridges, roads, waste disposal, transportation, and especially telecommunications, would

be critical for rural communities in getting their products and services to global

44

consumers. This in turn would assist the rural communities to be far more attractive sites

for non-local firms for their global consumers in transporting goods and service in an

expeditious time frame.

In addition to physical resources, the Irwin et al. (2010) study noted that human

resources are tied exponentially to the sustainability of rural communities. The study

specifically stated that human capital, the skills and education of individuals, would

matter in the ability of rural communities to be sustained into the future. The study goes

on to argue that this resource would be needed in rural communities with the changes that

are occurring to innovative technology in the workplace at a rapid rate.

Globally competitive firms require that technology be a major factor in making

their products and services available in delivering them to consumers across the globe.

Therefore, a rural workforce must be able to function within this technological advanced

environment. Rather than advocating for the development of particular technological

skills, the researchers suggested that rural communities should offer workforce training

with the ability to think independently and adjust quickly to a changing technological

work environment.

As a result, the study suggested that rural areas with this type of highly skilled

workforce would be more likely to attract and retain employers, which is a critical

component of a sustainable rural community and its rural community college in offering

the workforce training. Of course, more research would be needed to validate this link

with human capital and industrial retention, which would then segue to improved

economic, social, and educational outcomes for rural communities, but the suggestions do

seem logical.

45

In this study, human capital refers to the knowledge and skills individuals have

that can be effectively applied to work settings. Some researchers simply use the level of

education attained by an individual as the indicator of human capital, while others use

more complex measures that can reveal ability along with training. It is possible to

measure the human capital of individuals at the rural community level.

The Irwin study (2010) involved statistical analyses that examined the association

of multiple factors to notions of rural community and its higher education involvement.

They found that rural communities in the United States were prosperous if their rates

were above the U.S. average. Rural communities with high percentages of adults over

the age of 25 with high school degrees tended to have higher odds of being prosperous

than other regions. According to this study, there appeared to be evidence that the

prevalence of human capital, as measured by the percentage of adults with high school

and greater education, is an important factor associated with rural community vitality and

sustainability with its rural community college.

A community along with a community college can provide current students an

opportunity to participate in service-learning activities or cooperative work experience.

These experiences in the field can benefit both community and employer from the work

accomplished and the potential of hiring a valuable employee that has experience with

the processes necessary for the job. Jacobs (2012) stated that service-learning is an

extension of volunteerism and cooperative work experience is the element of reciprocity

that elevates it to the level of philosophy. The philosophy of service learning is mutual

community benefit, individual growth, and generosity. Service learning also has a

component of pedagogy based on the experiences and reflections of individual learners.

46

The difference between service learning and cooperative work experience is the aspect of

volunteerism, community benefit, and reflective process for individual growth that

cooperative work experience does not address. According to Jacobs (2012), the benefit

to the community college professional-technical program is the continual improvement

feedback on existing curricula outcomes measured against industry benchmarks.

Howley, Chavis, and Kester (2013), in their study, described that despite the

hardships many rural communities and their community colleges face, they can be

socially enabling institutions that improve the sustainability and help form the identity of

rural America, both in terms of individual communities and in terms of the individuals

themselves (p. 2). They stated that for quality of life in rural places and especially for the

sustainability with the community, one advantage would be the rural community college

due to it, in many instances, serving as community centers or hubs in providing meeting

space and other support for rural community civil groups. The rural community college

can offer various educational, social, cultural, and entertainment programs and services to

their local communities in the sustainability efforts between the two (p. 3).

Rural community colleges can offer a wide array of economic and workforce

development efforts to enhance the sustainability with the community. Traditionally,

according to Howley, et al. (2013), rural community colleges have contributed to local

community economic development sustainability by (a) providing the first two years of

higher education, (b) being a local employer, (c) preparing students for the workforce, (d)

offering basic skills education, (e) conducting contract training, (f) facilitating internships

and cooperative education, (g) providing prescreening services for employment, and (h)

47

offering placement services for graduates. These services provide the foundation in the

sustainability of the rural community and its rural community college.

Howley, Chavis, and Kester (2013) explained that some rural community colleges

form partnerships with local businesses as well as up and coming ones in their rural

community, to provide workforce training or to develop degree programs that align with

regional employer needs and the sustainability of the rural community and its alignment

with the rural community college (p. 3). Rural community colleges also participate in

state or regional consortia that are focused on improving regional markets, serve as

business incubators, and provide office space or technical assistance for startups.

Collaborative or shared governance needs a foundation of a shared vision,

according to Flora and Flora (2013). Cooperative and collaborative efforts by all

stakeholders in organization(s) from the rural community to the rural community college

that can learn from one another are called team learning. Jacobs (2012) noted that leaders

must work toward transforming collective thinking skills, so that groups of people within

the rural community can reliably develop intelligence and ability greater than the sum of

individual members’ talents in the workforce sustainability.

The ultimate goal is to create productive, creative, and energetic organizations

that are aware of themselves and the relationship that it has with the rural community

college and other systems and organizations in the sustainability efforts. Broadening a

vision statement to include other organizations, groups, and individuals (stakeholders)

from the rural community and the rural community colleges creates interconnection and

combined efforts that lead to the development and actualization of a sustainable

community college-community-based learning organization, according to Kanter (2011).

48

The Role of Rural Community Colleges

The purpose of this section is to review the existing literature on rural community

colleges. The following highlights the key themes and regional sources of the prevailing

literature. The literature reviewed was found to explore the scope of rural community

colleges in the twenty-first century. It was discovered by Hardy and Katsinas (2008) that

of America’s 896 publicly controlled two-year community and technical college districts,

553 or 62% were classified by the Carnegie Foundation as rural serving community

college districts (p. 10). Nearly a third of the nation’s community college student

enrollments occurred at rural community colleges. In Oregon, for example, the

Department of Community Colleges and Workforce Development (2008), approximately

60% of the state’s unduplicated student enrollment occurred at the 14 rural serving

institutions (Oregon Department of Community.

In regard to postsecondary institutions (community and technical colleges) in the

United States, the Carnegie Foundation (2010) found that rural institutions are classified

as small when enrollments are below 2,500 students, medium when enrollments are

above 2,500 but below 5,000 students, and large when enrollments exceed 5,000

students. Rural community colleges serve fewer students, with more of their students

being full-time and less diverse than that of urban or suburban community colleges. Low

enrollments in smaller and medium-sized rural community colleges also suggest that they

may lack sufficient resources to address educational issues, and their cost per student is

higher, factors that indicate more budgetary limitations, according to Fluharty and Scaggs

(2007).

49

According to Benjamin, Hyslop-Margison, and Taylor (2010), a community

college shares three historical roles; education, training, and providing community

resources. During the twentieth century, events such as urbanization, industrialization,

and economic development caused dramatic changes in society. Some of these changes

resulted in the creation of junior colleges, many of which later became community

colleges.

Jacobs (2012) discussed several education movements that also supported the

creation of community colleges: expansion of the public education system, the increased

professional standards for public school teachers, the vocational education movement,

and the demand for increased community and adult education (p. 191). Benjamin,

Hyslop-Margison, and Taylor (2010) noted that during the 1930s, due in part to the Great

Depression, there was a shift in the purpose of junior colleges with an increasing

direction toward workforce development. The Truman Commission first formalized the

term community college in 1947, stating that a network of state supported community

colleges could provide affordable, accessible education for a more diverse student

population, indicating nontraditional students (p. 125). After World War II, in 1946, with

the United States having to accommodate all the returning veterans, the G.I. Bill was

created for the specific purpose to increase college enrollment of veterans which resulted

in greater growth for community colleges (p. 126).

Benjamin, Hyslop-Margison and Taylor (2010) noted that the events of the

twentieth century, such as World War II in the 1940s, the Korean War during the 1950s,

and the Vietnam War in the 1960s, led to the establishment and later expansion of the

community college to include a comprehensive mission. Initially, the expansion of the

50

community college was a direct reflection of the veterans of the wars. In the 1960s and

1970s, with the enrollment of baby boomers in addition to the returning Vietnam War

veterans, community colleges continued to expand. They began to become places that

would respond to local community needs, offering open access to postsecondary

education and training programs. During the 1980s, community colleges began to shift

their focus to align their curriculum with local high schools in order to prepare students

for vocational and technical two-year programs. This led to the rural community college

becoming a major focus for its rural community. A major shift in the 1990s occurred

where community colleges became more market-oriented in their goals and more

businesslike in their behaviors (p. 130).

The role of training for workforce development became a major component in the

1990s within the community college structure. According to the American Association

of Community Colleges (2011a), community colleges gained a much more significant

economic function during this time. The traditional community college mission was

expanded to include workforce training and technical skills development. As a result,

community colleges became institutions that combined an entrepreneurial college with a

workforce training center, and yet preserved the traditional institution comprised of an

open admission policy coupled with a comprehensive curriculum. Consequently, today’s

community colleges do not resemble the junior colleges of the twentieth century.

The Association (2011a) noted that a comprehensive community college offers a

wide variety of programs specific to the community needs that encompasses economic,

cultural, and social factors. Comprehensive community college course offerings range

from career and technical to developmental education, and especially attractive to many

51

students, transfer education opportunities. They provide many benefits to their

communities, such as the creation of job training, a competent skilled workforce,

business incubator resources, and community-based activities. Blanchard, Casados and

Sheski (2009) showed that community colleges began offering six-month vocational

diplomas; one- and two-year career and technical and pre-professional certificates; and

two-year programs of general and liberal arts education associate degrees which will

transfer to a four-year institution. These offerings have continued to evolve over the last

ten years to match the global and technology worlds of today with two-year science,

math, and information technology degrees.

The rural community college is an integral part of the community. Since 1972,

when the first rural community college was built, community colleges have been and

continue to be open to anyone and everyone from all demographics, according to Hardy

and Katsinas (2008). They stated that in order to be able to train rural community’s work

force, the rural community college must be accessible to the most remote and

disadvantaged populations. Unlike students in heavily populated urban and suburban

areas that have the option of attending several two-year community colleges, and public

and private four-year institutions, rural students often have only one accessible option.

Katsinas (Hardy and Katsinas, 2008), also noted that for potential college students who

live in rural regions, the choice is not between a community college and another

institution; it is between a community college and nothing.

In order to serve all populations, the rural community college has focused its

mission on being all things to all people, especially the underprepared, the

underrepresented, and the underachieving student, according to Blanchard, Casados, and

52

Sheski (2009). Katsinas (2008) said that to be all things to all people, the rural

community college has become the land-grant college of the twenty-first century,

working to academically prepare students to transfer into a four-year degree program or

vocationally prepare them for a skilled profession. The rural community college has been

able to provide a practical and liberal education at a cost that even the working classes

can afford.

Rural community colleges also emphasize their ability to focus on the student, be

flexible and accessible, provide remedial services, and adapt to their community’s

educational and economic sustainability. The rural community college has become

trusted by people across social classes. Although rural community colleges have an open

door enrollment policy, students continue to face enrollment barriers. As Ashford (2013)

pointed out, since rural community colleges have to cover a large service area, many

students cannot access transportation or afford to travel upwards to fifty miles to attend

an hour-long class with the high prices of cost-of-living recently incurred.

Since the majority of rural college students are low income, according to

Abraham Maslow’s (1954) hierarchy of needs theory, their first priorities consist of

meeting their physiological needs, such as satisfying hunger pangs and securing a place

to live. To meet these needs, a large number of non-traditional students work full time

and go to school part time to assure that their groceries for themselves and their families

will be covered. After their physiological needs are met they are able to work on meeting

other needs, such as safety, love, belonging, and self-esteem.

Traditional aged students often live on campus, work fewer hours, and have more

time to become involved with campus extracurricular activities. Nontraditional students

53

typically live off campus, go to school part-time, work full-time, and engage in few on-

campus activities, which make it more difficult to meet one’s psychological needs such as

safety and belonging. If nontraditional students cannot make connections for find a

community with the campus, they are less likely to become socially and academically

integrated into the college culture, according to Collier and Morgan (2008).

Scholarly attention to the unique needs of rural community colleges has

permeated research during the twentieth and twenty-first centuries, according to

Theobald and Wood (2010) in that they noted that rural Americans may well represent

the single most diverse and heterogeneous group of individuals and communities in our

society (p. 2). There has to be the ability to meet the needs of the rural community

college on a declining budget. To do so that takes real entrepreneurial spirit, innovations,

and constantly watching the horizon for opportunities (Hicks & Jones, 2011).

Leadership of a rural community college is, in essence, tasked with revitalizing

the college. While pressing needs are able to provide adequate facilities, using updated

technology, serving the communities, increasing enrollment, and numerous other critical

components, the primary driving force behind these institutional efforts is a driven

compassion for meeting the needs of all students across the rural community college

campus (Hicks & Jones, 2011).

The best known research regarding the role of the rural community college has

grown out of the Rural Community College Initiative (RCCI), a 1994-2001

demonstration project to promote economic development and increase access to post-

secondary education in distressed areas of rural America. This initiative involved 24

rural community colleges from 11 states, was funded by the Ford Foundation, managed

54

by MDC, Inc., and assessed by the American Association of Community Colleges. What

was found – and stressed – was the importance of community colleges’ mission, capacity,

and position in the community for place-based economic development and people-based

education.

The evaluation of the RCCI program revealed three key factors supporting

community colleges’ outreach roles: (a) committed and well-funded partners, (b) a

culture of change, and (c) focus on economic development and educational access (Rural

Community College Alliance, n.d.) Evaluation of the North Central Regional Center’s

RCCI program yielded a list of success factors which included – flexible, albeit limited,

funding; a strategy to identify assets; connecting passion for place to action; new

collaborations; and coaching expertise (Emery, Flora, Fey, Hetland, & Cooper, 2008).

Emery, et al. (2008) stated a continuing outcome of the RCCI has been the Rural

Community College Alliance (RCCA), an organization of rural colleges primarily from

Appalachia, the South, the Southwest, and the Northern Plains Indian Reservations. The

RCCI seeks to provide peer learning and support as well as represent the voice of rural

community colleges regarding challenges of rural America such as changing economies

and demographics and disconnected public policies (Emery et al., 2008). The Mid South

Partnership for Rural Community Colleges, a research and technical assistance

partnership among Mississippi’s land grant institutions and southern community colleges,

credits its beginning to the RCCI as well.

In the paper Invigorating Rural Economies: The Rural Development Mission of

Mississippi’s Community Colleges (Rubin, Cejda, Fluharty, Lincoln, & Ziembroski,

2005), recommendations were made to both community colleges and the state.

55

Recommendations to the colleges included: (a) shift the college’s mindset to place more

emphasis on the college’s role in the community, (b) expand the benchmarks by which

the college measures its success, and (c) be a strong voice in rural development

initiatives. Recommendations to the state included: (a) encourage community colleges to

play expanded roles in community and economic development, (b) make community

colleges eligible grantees for community and economic development programs, and (c)

publicly recognize community colleges for their work in community and economic

development.

Beyond the RCCI research, there has been additional interest in the role of rural

community colleges in the communities they serve. Frequently covered topics in the

literature on community colleges included: the issues faced by rural community colleges,

especially fiscal challenges, leadership in rural community colleges, and the institutions’

role in economic development. Research regarding the issues, especially fiscal

challenges, that rural community colleges face has highlighted the symbiotic relationship

between a rural community and its community college.

Fluharty and Scaggs (2007) wrote about rural community colleges serving rural

communities which have limited financial resources. They noted that rural community

colleges and their communities share a common destiny. They also stated that while

parts of rural America are prospering, other areas are in economic decline or mired in

poverty. The downward spiral of state funding for community colleges and its impact on

rural community colleges was also addressed by Roessler, Katsinas, and Hardy (2008),

who noted that rural-serving community colleges appear to be the most vulnerable to

funding shortages.

56

In the second vein of rural community college research, studies related to rural

community college leadership have often focused on the leadership challenges and

opportunities related to place and relationships at rural community colleges. Parker

(2010) asserted the importance of community college presidents taking on leadership

roles in the community. Clark and Davis (2008) stressed the importance of a rural

community college president’s deep engagement with the community in order to develop

a systemic view of the relationship between the community and the community college.

Third, the role of the community college in economic development has been

addressed widely, even beyond the previously reviewed research related to the RCCI. As

stated by Phelps (2012a), U.S. community colleges have historically played a prominent

role in economic and workforce development. This role as an economic engine for the

nation was recently expounded on by Boggs (2012), who described community colleges’

quick and localized responses to workforce and economic needs. As well, Jacobs (2012)

wrote about community colleges having proximity to the local workforce, technical

training experiences, and program-offering flexibility, all of which have positioned

community colleges to engage successfully in local economic development.

Katsinas and Friedel (2010) promoted the unique positioning of community

colleges’ local delivery system to meet economic sustainability development challenges

through their non-traditional economic development programs such as small business

development centers and customized training programs. Their review of the community

college-economic development literature ended with a call for community college leaders

to get involved in community college-economic development policy formation.

Dissertations involving rural community colleges and economic development have

57

included Parker’s (2010) study in North Carolina concluded that the primary role of the

community college was to support economic development, while Haynes’ (2006) study

focused on the utilization, needs, and gaps in workforce education, training, and

retraining of business and industry in rural Mississippi community college districts.

Thomas’ (2003) dissertation identified successful community college economic

development programs and services in rural southwest Virginia, and Gossett’s (2002)

study of western North Carolina small business owners found that the most important

economic development activity for community colleges were perceived to be their job

training programs for existing businesses.

The semantic lines between economic development and community sustainable

development or community building have sometimes been blurred. But in the literature

review community colleges, the underlying thesis that rural community colleges’ play an

important role in the development of the community has been consistent. Miller and

Tuttle’s (2007) study of three rural communities identified four outcomes beyond

academic programs and job training included developing community inclusiveness,

developing community pride, creating a value-added community lifestyle, and being the

central defining component of the community. Miller and Kissinger (2007) maintained

that rural community college services such as economic development, cultural

enrichment, educational opportunity, and leisure programs extend program activity

outputs to influence the status and identity of both individuals and the community as a

whole.

Noting the heightened importance of rural community colleges to their

communities, Eddy and Murray (2007) advocated for collective visioning and planning

58

so that community expectations of rural community colleges were realistic. At the same

time, Eddy and Murray called for state and federal policymakers to address the rural

differential, recognizing that rural development requires a regional approach and that the

needs in rural community colleges are not all the same. Over a decade earlier, Valek

(1995) observed that rural community colleges were committed to assisting communities

with their most crucial needs. Valek cited community colleges’ capacity building role

through promoting cooperation, maximizing existing resources, and providing

consistency over time.

Summary

In summary, the literature on the role of rural community colleges can be

characterized as quite rich, especially with regard to rural community colleges and

economic development in the southern and north central region of the United States. Of

particular interest is the majority of the scholarly literature on rural community colleges

originating from the southern and north-central regions of the country. Community

colleges in the Northwest and especially rural Northwest community colleges have been

essentially absent from the resources.

The literature review proved very helpful for establishing the background of this

study. As the review of the literature progressed, connections and relationships among

significant concepts in the different areas of the literature which eventually led to the

tentative development of a framework that coherently linked the personal research

perspective with the focus of the research study and the chosen research strategy. The

literature review revealed that opportunities where this study might one day contribute to

the literature based as well as the daily practice.

59

Key findings thus far include the emerging focus on the public agenda of

accountability in higher education; the mounting activity and corresponding literature

related to community engagement in higher education which included the Carnegie

Foundation’s new Community Engagement classification; the wealth of community

college contributions to the community engagement; the many voices calling for better

measures of community college’s complex mission and impact on local communities,

especially related to state performance measures; the need to better understand rural

America’s diversity, needs, and policy directions; the absence of literature on rural

community colleges in the Northwest; and lastly, the absence of literature on rural

community colleges’ impact on the rural economic sustainability community

development.

Similarly, there was a lack of findings regarding leadership roles in the economic

sustainability of a rural community and its rural community college. As rural community

and community college leaders who are expected to lead their respective institutions into

the domain of a global society, the establishment of a criterion in these leadership roles

represent a crucial predicament. The next generation of leadership will have to be

receptive to the economic sustainable development taking place within the rural

community and its rural community college. Careful consideration and selection of

individuals for developing economic sustainability between the rural community and its

rural community college in new leadership roles with their respective institutions and

developing a succession of established criterion will be an important component of this

transition.

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Chapter 3: Research Method

The rural community college and the rural community are at a crossroads as rural
community colleges face shortages in leadership, budget, faculty, and more importantly,

the students (Flora & Flora, 2013). The reasons have been attributed to the additional

burden of community colleges surviving in a market system that have been catapulted

both the private sector and public institutions into a global arena (Crookston & Hooks,

2015). Rural community colleges must reflect on the requirements of their rural

community and be a collaborative strategic sustainable member. However, these

collaborations are often job specific and narrow in focus, particularly with businesses in

the community. There is a lack of research data regarding sustainable community

economic development (Yang et al., 2015). A time and place bound constraint in the

research is needed for current higher educational training and connections to rural

community businesses for cooperative work experience. The combination of these

factors, rural communities and rural community colleges are becoming isolated from the

benefits that may be afforded them if they had greater access to what the current

economic trends have to offer, as well as opportunities to use the community as a

classroom (Torres et al., 2013).

The nature of the rural community college in sustainable economic community

development and the results of these efforts are important to understand, yet challenging

to analyze and communicate. The promise and openness of the rural community college,

and the fluctuating boundaries between community and college, are both its strength and

its greatest challenge (Evans et al., 2015). The rural community college in most of rural

America is one of a small number of institutions that offers a comprehensive program of

61

workforce training. The local context was unique enough to warrant a careful study to

determine what local theories and best practices might help improve its practices

(Grayson, 2012). It was critical to develop a better understanding of the problems facing

the rural community college in promoting sustainable rural community economic

development. The utilization of systems and external perspectives may prove to be a

helpful lens for the endeavor of understanding the impact of rural community college

sustainability on its local rural community development (Ashford, 2013; Hicks & Jones,

2011; Jacobs, 2012).

The purpose of this qualitative multiple case study was to explore rural
community sustainable economic development within the rural community college

environment, and perspectives on critical factors relating to the sustainability. To build

an in-depth picture of this interaction, the Arkansas State University (ASU) Mountain

Home two-year community college, which serves fewer than 2,000 students and the

Mountain Home rural community of 13,000 of people served as the site. A semi-

structured interview process with six purposively sampled leading individuals in the rural

community and the rural community college was utilized along with document reviews.

Participants included business and industry executives and educational officials from the

college. Including a variety of key community leaders was important for understanding

the rural community college’s role in the rural community’s sustainability development

(Stake, 2013).

To secure the kind of information sought, open-ended questions were used in 60-

90 minute interviews. Ultimately, this research study should provide a description of the

case, which is the rural community college and the sustainable rural serving community,

62

an analysis of the themes related to the process of college-community interaction, an

analysis of the themes related to the results of the college-community engagement, and an

interpretation of the impact of the rural community college in promoting sustainable

economic rural community development (Marshall and Rossman, 2011).

The specific research questions that will guided this study were:

RQ1. How do community and community college leaders describe the

characteristics needed to develop a rural community college-rural

community sustainable alliance?

RQ2. How do community and community college leaders describe changes in

the economic sustainable relationship between the rural community college-rural

community?

RQ3. What do community and community college leaders perceive to be

effective strategies for promoting economic sustainability for the alliance of rural

community-rural community college?

The study consisted of semi-structured interviews with six experienced rural

community and rural community college leaders. Through the interpretation and analysis

of the data collected in these interviews, using a consistent semi-structured interview

guide, the researcher developed conclusions for future guidelines for future exploration of

the sustainability of the rural community and the rural community college.

Research Methods and Design(s)

Qualitative multiple case study methodology is often used as an alternative choice

when attempting to solve problems that cannot be solved by manipulation of the

environment by means of quantification and probability testing (Stake, 2013). The

63

principles of qualitative research are to investigate complex events involving real-life

experiences (Maxwell, 2014) and make meaning of them (Christian, 2014). The case

study (Yin, 2009) design was chosen in order to gather information from multiple sources

as to why the rural community college may not be aligned with sustainable economic

community development. Both Shank (2013) and Maxwell (2012) stressed the

personalization that the case study approach brings to research, enabling the views of the

participants in the study to be revealed.

The major justification for the chosen research methodology is that in being a

case study with selected participant interviews drew upon descriptive qualitative

information, gathered from individuals directly involved in the day-to-day functionality

of leadership within the community college and the community. The aim of the research

was to provide a description of the phenomenon – community college and community

stakeholder’s experiences of community college sustained community development – a

descriptive case study was utilized. The inquiry focused on one rural community college

and its sustained development with the community, with the multiple case study

structure. The definitive boundaries of the case were utilized by the unit of analysis,

which was the experiences and perceptions of the community college and community

stakeholders, resulting in a holistic design not warranted. The very nature of utilizing a

case study was that it enabled a much richer picture to be revealed (Palinkas, 2013).

The purpose of this qualitative multiple case study was to explore rural
community sustainable economic development within the rural community college

environment and perspectives on critical factors relating to the sustainability. The intent

was to provide a community-based view of college-community interactions and results.

64

The college, Arkansas State University Mountain Home, was chosen from the

classification of small, rural community colleges in Northwest Arkansas based on the

researcher’s professional knowledge of the community and college. In choosing the rural

community college, the ability was to gain access to the community and the community

college which was important. The primary participants in the study were key community

and community college leaders, identified by participant attributes including community

leadership, which the researcher utilize a purposeful sampling strategy in selecting the

participants from within the case (Schwandt, 2010). By including a variety of key

community and community college leaders, the discovery of an array of perceptions of

the rural community college’s role in community development was discovered.

The professional experience has afforded a range of place-based experiences,

from a small, rural college in an agricultural and recreation-based environment, to an

urban community college in a technology and manufacturing environment, to a large

rural community college in a government and service-based environment (Stake, 2013).

Subsequently, the opportunities have afforded the researcher to work effectively with

local stakeholders in asking the questions regarding college and community sustainable

economic development. The opportunities with state level policy based questions around

mission and funding prioritization, performance reporting, public understanding, and

systems collaboration have expanded the researcher’s experiences (Institute of Education

Sciences, U.S. Department of Education, 2013).

The theoretical concept that has emerged as a scaffold for the research study

include (a) the concepts of rurality and community, (b) systems theory, and (c) college-

community engagement and the relationship of higher education to public benefit

65

(Gonyea, Wright, & Kulkosky, 2014). In this study, the functional whole was the

community, and the goal was to understand the community embedded in its natural and

social environment and the interdependence of its parts. Research consisted of

interviewing six experienced rural community and rural community college leaders with

questions of college and community sustainable economic development, observation of

these individuals, and document review of databases of county/city socio-economic

information, community newspaper archives, college and community websites, college

and

community planning reports, and public information and marketing documents.

Using three types of data collection enhanced the reliability of the study (Patton, 2002).

The term for this is triangulation (Yin, 2009). Gall, Gall and Borg (2007) stated that

triangulation should be used within the case study. These methods of data collection

should be used and then analyzed so that the data is supported within the methods (Gall

et. al., 2007).

A basic logic model guided the data collection, data analysis, and data

interpretation for this study, including data about the context of the rural community and

the rural community college, data about the process of interaction and engagement of the

college and the community; and data about the results of that interaction (Yin, 2011).

Consistent with a case study research strategy, multiple qualitative methods of data

collection were employed, including document review, individual interviews, and

participant observation (Institute of Education Sciences, U.S. Department of Education,

2013).

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Population

The multiple case for this study was a rural Northwest Arkansas community and

the rural community college within it, and the rural community and rural community

college leaders. The selection of the small, rural-serving community college, utilizing the

Carnegie Classification of Colleges and Universities, was due to it being classified as a

small, rural-serving college with an annual unduplicated credit enrollment of under 2,500

students (Carnegie Foundation for the Advancement of Teaching, 2010). The rural

community college is located in a primarily mountainous region and is situated in a city

of around 13,000 people.

Sample

Purposeful sampling was used for the qualitative case study because the potential

participants were being easily accessible and met the study criteria. The study

participants, rural community leaders and rural community college leaders were

contacted requesting that they assist in the study. The study participants were contacted

by mail, and email to explain the purpose of the study, the criteria for participation, and

the participant’s time commitment. The rural community college and the rural

community leaders’ have the knowledge and experience with sustainability between the

two to facilitate the study data. The group of participants were identified as: (a) rural

community leaders affiliated with industry, banking, and health services; and (b)rural

community college administration in the Chancellor, and Vice Chancellor category, thus

they were confirmed to participate in the study, it was the researcher’s expectations that

their participation represented a varied theory knowledge formulation.

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Decisions associated with enacting closure to further searches for evidence must

be guided by the sampling as well as pragmatic constraints (Parker, 2012; O’Reilly and

Suri, 2011). Sample saturation of data was associated with this stage when further

collection of research evidence provides little in terms of further themes, insights,

perspectives or information in a qualitative research study (Suri, 2011). Although no

precise formula for sample size in qualitative research exists (Yin, 2011), the six

participants for this study were the initial target to ensure confidence in the results and to

achieve data saturation (Yin, 2011).

Materials/Instruments

The strength of the case study design was that it permitted the use of multiple

sources of evidence (Houghton, Casey, Shaw, & Murphy, 2013). Two data collection

methods were utilized in this study – community college and community leadership

interviews and documentation in the form of databases of county/city socio-economic

information, community newspaper archives, college and community websites, college

and community planning reports and public information and marketing documents.

These sources were complementary in they delved into the structure and context of state

mandated stakeholder collaboration. Four principles of data collection can contribute to

establishing validity and reliability in case study research: (a) use of multiple sources of

evidence, (b) create a case study database, (c) maintain a chain of evidence, and (d)

exercise care when using data from electronic sources (Yin, 2013).

For the purposes of this case study, data collection was collected over a period of

four months. The participant interview was supported as one of the most important

sources of case study evidence (Jung, Chan-Olmstead, Park, & Kim, 2012; Sharifi-

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Tehrani, Verbic, & Chung, 2013). Interviews are targeted sources focused on the case

study’s topics of inquiry. Additionally, interviews provide insightful explanations as well

as participants’ personal perceptions about the topic (Stake, 2010).

The case study is designed to look for patterns, themes, and constructs in the data

(Yin, 2011); patterns which will identify relationships within the case (Marshall &

Rossman, 2011); themes which will describe salient, recurrent features of the case; and

constructs, new and previously identified in the literature (Gall et al., 1999). A

qualitative method of data collection (Yin, 2011), document review, was utilized (Stake,

2013). The document review examined databases of county/city socio-economic

information, community newspaper archives, college and community websites, college

and community planning reports and public information and marketing documents

(Stake, 2013). The process of inductive analysis of the data was utilized, looking for

patterns, themes, and constructs that were identified in the literature and as new data

(Creswell, 2009).

In this study, the interviews were maintained using an open-ended conversational

tone (Stake, 2010), but a semi-structured interview guide was used (see Appendix A)

with each one-on-one interview. The interview guide was designed to help focus the line

of inquiry on the participant’s actual experiences as a stakeholder as well as their

perception about their professional experiences. Instead of holding a rigid stream of

questioning, interviews were conducted in a more fluid conversational manner as

suggested by Rubin and Rubin (2011).

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Data Collection, Processing, and Analysis

Prior to the interview data collection, a preliminary document review was

conducted by examining databases of county/city socio-economic information,

community newspaper archives, college and community websites, college and

community planning reports, and public information and marketing documents.

Following the document review, individual interviews were conducted. With the six

study participants, the interview process was conducted over a four-month span. This

was a good number of participants with a seemingly adequate amount of data saturation,

the process of highlighting certain data through descriptive phrases and looking for

patterned regularities was the focus (Gonyea, Wright, & Kulkosky, 2014). By reducing

the data in searching for patterns and sorting into categories, the focus became more

streamlined.

The plan was to utilize both methodological triangulation and data source

triangulation protocols to ensure soundness of the data within this qualitative study

(Marshall and Rossman, 2011). The collection of data was through multiple methods,

including interviews, observations, and review of documents, as well as data from

multiple study participants. Engaging in both an iterative method and data triangulation

process was to establish trustworthiness of the qualitative study (Yin, 2011). Essential

feedback after the interviews ensured soundness of the data. Strategies of soundness for

the study needed to be highlighted for presuppositions by the researcher for the beginning

of the study as well as during the research process.

A limited sample field test was conducted to assess the appropriateness of the

interview questions (see Appendix A). A field test can inform decision making regarding

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the redesign or changing of a survey (Remenyi, 2011). The purpose of the field test was

to identify the major components of sustainable economic development involvement with

the rural community college and the rural community through an examination of the

literature and nonbiased feedback the researcher gathered about whether answers being

sought to the questions were be appropriate for the population, whether they made sense

to the population, and whether they represented the perspective of the field (Remenyi,

2011). The nonbiased feedback included one social science professor, one leading expert

on research into community colleges, and one sociology professor. Once the feedback

had been compiled, this was incorporated into a redesigned instrument that was used to

update the interview questions and sample design to measure new phenomena. In theory,

a redesign may allow for implementation of better data collection, processing and

estimation methods (Remenyi, 2011).

In order to understand the context of the rural community and its community

college, questions about the community were asked of the participants. Examples of the

questions was to ask what kind of interactions with the content of the community college

would generate engagement in sustainability for how will community members

collaborate with community college members to achieve shared goals. Their description

of the community was crucial, especially relating to the community’s challenges,

problems, and/or need faced in today’s world. Questions relating to the rural community

college was be geared toward understanding the process of community college-

community interaction, for example, asking in what ways do the community college and

community partner together, particularly with the community college leaders and the

community leaders in community development efforts. (See Appendix A).

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Understanding the results (outcomes, impact, and positive change) with the last

set of questions asked of the participants, especially the sustainable e4conomic

development on the rural community and the rural community college was achieved

(Marshall & Rossman, 2011). The recorded interviews were transcribed to gain

familiarity and understanding of the interview data. Using the software data analysis

program, NVivo, the data was analyzed looking for pattern regularities and sorting the

data into categories (Marshall & Rossman, 2011).

NVivo is a comprehensive qualitative data analysis software package. The

software was used to organize and analyze interviews, textual sources, field notes, and

other types of qualitative data including image, audio and video files (Truxaw, Casa, &

Adelson, 2011). The decision to use software was based on the volume of data that was

gathered as well as the options of different software packages before the decision was

made to use NVivo. Qualitative data analysis software is often based on grounded theory

approaches to data analysis in that theory will emerge from the data, thus, the software

often has “memoing” tools which facilitate theory building from the data (Truxaw et al.,

2011).

The grounded theory approach to data analysis can also mean allowing the data to

“speak for itself” rather than approaching the data by using the existing theoretical

frameworks (Stake, 2013). While the “memoing” tools in NVivo could push the

researcher to draw a theory from the data, it was not necessarily following the grounded

theory guidelines when using this software. NVivo was relatively simple to use.

Documents were imported directly from a word processing package and then coded

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easily in the computer. Coding stripes were then made in the margins of documents so

the researcher could see at a glance which codes had been used where.

Decisions were made based on sampling one package to found it will to be

appropriately user-friendly. Time becoming familiar with the package was an important

part of the decision making process. As a result, the availability of a support network

was necessary so that the researcher quickly became proficient in use of the package

(Truxaw et al., 2011).

Document Review. All data are considered in the context of the environment in

which they are gathered. In the documentation, an attempt was made to understand the

perspectives of the group being studied and to experience the insider’s viewpoint.

Documentation was recorded without superimposing a judgment or value system.

Inductive reasoning was used to examine the data, develop an understanding of the

situation, and document generalizations and findings.

Individual Interviews. The participants in the study for interviewing were key

community leaders with important attributes; including community leadership

Participants included business and industry executives and education leaders. By

including a variety of key community leaders, a discovery of an array of perceptions with

regard to the community college’s role in sustainable economic community development

was sought. The taped interviews were conducted as semi-formal in a private boardroom

of the rural community college campus. Confidentiality was maintained and the

participants who agreed to be interviewed were given documents to that effect, which

were signed by them and by the researcher. Data collection was stored in a locked

cabinet after the taped interviews were transcribed. The transcribed interviews were sent

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to each participant so that they could verify the authenticity of the interview. The data

that was collected for the analysis has been locked in a cabinet and will remain there until

the time limited runs out so that the data can be destroyed.

Participant Observation. Observational techniques are methods to gather data

firsthand on programs, processes, and/or behaviors being studied. In particular,

responses by participants were based upon their experience with strategic sustainable

alliances and in which sector that they work. There were two major sectors of

participants; (a) educational, specifically university, and (b) business (Caffarella &

Daffron, 2013). By directly observing the activities, the researcher developed an

understanding of the context within which the project operates (Institute of Education

Sciences, U.S. Department of Education, 2013). Observational approaches allowed the

researcher to learn things the participants may be unaware of or that they were unable to

discuss during the interview. Observations were carried out using a carefully developed

set of steps and instruments, and were guided by a structured protocol (Institute of

Education Sciences, U.S. Department of Education, 2013). Moreover, observations were

important in gaining insight by describing activities or identifying challenges within the

context (Observation Research, 2011). The goal was to have two rounds of responses that

were provided by an expert panel of individuals anonymously. Thus, the feedback on the

collective responses and observation gained the most reliable consensus of opinion from

the group of experts (Caffarella & Daffron, 2013). (See Appendix A)

Assumptions

Bloomberg and Volpe (2012) defined research assumptions as basic factors that

researchers hold as true in regard to research. Several assumptions were made for this

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qualitative study. First, it was assumed that the rural community and rural community

college leader participants understood what was expected from them by the study and

that those were taken seriously. It is thus also assumed that they gave honest and

meaningful responses during their interviews. Mero-Jaffe (2011) suggested that

convenient, comfortable, and private interview locations can increase a participant’s

likelihood to provide honest information to the researcher, thus, a location for a safe,

quiet and comfortable interview was provided in which to conduct the interviews.

Another assumption is that a sufficient number of participants would be willing to be

interviewed for the study. A carefully monitored open-coding was utilized to ensure

saturation had taken place from the sample of the six participants. A significant

assumption for the study was that the participants would have adequate experience to

meaningfully discuss the topic of community college sustainable economic community

development (Palinkas et al., 2013).

Limitations

The study was limited by the population for this study, which included only six

out of 10 rural community and rural community leaders. The generalizability of the

findings to other community leaders is therefore not guaranteed. It was also delimited by

the qualitative method used. When conducting data analysis, experience and bias could

have affected the results and interpretations developed. This is an important limitation.

Creating a codebook of thematic analysis could be subjective. For this reason, the

researcher complied the transcribed data and entered it into a commercially available

qualitative research software solution, NVivo, to comprehensively code, organize, and

analyze the data. Provided that a coding scheme was developed, using NVivo to develop

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a system could make coding the entire data set based on the coding scheme less

subjective and more efficient.

Delimitations

As defined by Bloomberg and Volpe (2012), delimitations refer to the researcher

imposed parameters of the study. The delimitations in this study principally related to the

designated sampling frame in this study. In this study, participation was delimited to one

community which houses a community college. This particular case study was selected

because of access to study participants – community college and community leaders.

This study was based on using data to uncover the sustainability between the rural

community and its rural community college. There was a literature review available to

the participants on the various methods in using data and also to know why the need of

additional data might be needed. A multiple case study which is qualitative and holistic

in nature had been created for this purpose to understand the in-depth analysis as well as

the need of using appropriate methods for sustainability in the community-community

college relationship. Various methods and procedures with effect to usage of data could

be helpful to guide the community-community college leaders.

There was the expectation that adequate evidence would be derived from the data

gathered; however, in a case study, this researcher had to continuously judge the acquired

data for importance. Only one rural community college in a rural community had been

chosen along with six of the leading leaders of both. While several sites could have been

chosen, it was the decision of the researcher to focus on one site with the belief that even

though this delimitation could affect the reliability and validity of the study, it was the

belief of the researcher that this may not occur and did not.

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Ethical Assurances

This study followed the ethical mandates of the Belmont Report (National

Commission for the Protection of Human Subjects of Biomedical and Behavioral

Research, 1979) by following its principles to protect human subjects of research: respect

for persons, beneficence, and justice. An important component of respect for persons is

the concept of informed consent (Dresser, 2012). According to the research, examining

the data was determined by using qualitative research in the form of a case study (Lia,

2010; Lee, 2010; Yin, 2009). Qualitative research can provide an important role in the

research of sustainable economic development in rural community –community colleges.

The interview process, observations, and examination of documents were used to try to

discover the sustainable development for future research. It was imperative that while

using the described process that validity, ethics, and integrity was involved. While

conducting interviews, Schram (2006) stated that a researcher cannot separate ethics and

interactions within individuals in a study. Schram then suggested four points to consider

establishing the ethics in a qualitative study. First, researchers must consider how they

present themselves. Second, researchers must be aware of the conversation and how the

participant and researcher communicate. Third, researchers must make private the

information the participants are sharing. And finally, researchers must separate

themselves from the research without losing touch with the participants. If researchers

consider the previous points, they more accurately understand the researcher and the

participants. Researcher must remain true to the research and know that they may have

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some influences on the outcome of the study. Researchers must also understand that the

participants are people with feelings, fears, and issues of trust. The interview process

itself could have become an ethical problem because of its use of open-ended and

discovery based questions. However, all precautions were utilized to ensure a nonbiased

outcome.

All respondents were informed that the participation was voluntary and they could

have opted out at any time. Confidentiality was addressed by not revealing the names of

the participants, but rather using a coding sequence instead of the names. Names of the

participants in in a locked cabinet. The researcher, by utilizing an informed consent form

for the participants in order to allow the researcher to collect and use the data gathered

being kept private in order to protect the participants from harm. However, there was

minimum risk physically or mentally in this study due to it being conducted in an

educational setting. Data collection began only after permission was granted by the

participants. The participant’s privacy regarding the data complied was treated with a

high degree of confidentiality by the researcher in order to maintain honesty and trust

among the professional participants involved in the study. Ethical assurances, as per

Schram (2006) suggests, there was no engagement in practices intended to suppress,

falsify, or to invent findings to meet the researcher’s needs.

Researchers must bear in mind that their interpretation of participants answers

themselves can influence the study. Care must be taken to avoid the researcher’s input

into the narratives of the participants by journaling researcher’s input and/or bracketing

researcher’s possible bias. In order to protect both the researcher and participants, each

study must be approved through the Institutional Review Board (IRB). The IRB’s goal is

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to conduct ethical research when using human participants (Northcentral, 2014). The

board does this by having each researcher apply to the IRB. The research then requires

each participant to sign a consent form agreeing to participate in the research. It is only

with approval of the IRB that research involving humans can be conducted. The research

data is in a secured location using locking devices including physical keys and online

password protected files. When the process began the task of gathering and analyzing the

research data, study participant identification codes was utilized, as well as utilizing

pseudonyms for the study participants, attributing direct quotes by pseudonym.

Summary

In summary, the focus of this study was to describe and understand the

relationship of a rural community college’s role in promoting sustainable economic

development in its rural community, along with college-community engagement, and the

resulting impact of the rural community college on rural community economic

sustainability development (Hanson, et al., 2011; Houghton et al., 2013). In conducting

this qualitative study, a constructivist perspective, a case study research strategy, and a

multiple case design was employed (Yin, 2011; Stake, 2010). A conceptual framework,

comprised of the following associated concepts, provided the foundation for the study

design: (a) the concept of community and rurality, (b) systems theory, the community

capitals framework, community development, and (c) college-community engagement

and the relationship of higher education to public benefit (Marshall & Rossman, 2011;

Houghton et al., 2013). This research study has provided a qualitative case study of the

rural community college and the rural community’s economic sustainable development,

culminating in practical recommendations for improvement of the themes related to the

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process of college and community interaction, interpret themes related to the results of

the college and community engagement, and the rural community college’s promoting

sustainable rural community economic development (Andreoni, 2011).

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Chapter 4: Findings

Chapter Four presents the findings of this qualitative multiple case study which

examined the role of rural community college in sustainable economic rural community

development. The intent of the study was to provide a rural community college-rural

community based view of context, interactions, and results. The participants in the study

were community leaders, including (a) business and industry executives, and (b)

community college administration. The completed study will provide the community

college and community leaders strategies to improve the sustainable economic rural

community college-community development. As discussed in Chapter Three, a

combination of constant comparative and theoretical analysis were used to analyze the

data from the six participant interviews (Draper & Swift, 2011; Suri, 2011). All

participants and information provided will remain anonymous by assigning pseudonyms

to all

participants.

During the research process, it was important to be informed of various research

designs and adhere to the most appropriate design type to ensure the use of best practices

in the investigation to produce the most useful data. In conducting this research, a

qualitative case study design was selected as most appropriate. A qualitative case study

design effectively reveals the logical use of repetition and reflection created from the use

of collected data (Yin, 2014). In this study, a qualitative multiple case study design was

conducted to gain an understanding of rural community college and rural community

leader’s perceptions about their level of insight and preparedness to implement

sustainable community development effectively. The methodical assumptions suggested

in this inquiry was based on the individual experiences of the individual, and

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understanding and interpreting their experiences helps to maintain validity. The potential

limitations of the design of this study were stated, and the researcher remained focused

on the goals of the study through a continual review of the statement of the problem and

the study’s purpose. In addition, the researcher implemented several tactics applied

throughout the conduct of the study to establish construct, validity and build internal

validity. The delimitations of this study were clearly stated regarding the number of

participants, the number of rural colleges, and the geographic location. Ethical

assurances were considered and approval was gained by the IRB at Northcentral

University.

Research question 1 asked, “How do community and community college leaders

describe the strategies needed to develop a rural community college-rural community

sustainability? “Research question 2 asked, “How do community and community college

leaders describe changes in the sustainability relationship between the rural community

college-rural community?” Research question 3 asked, “What do community and

community college leaders perceive to be effective strategies for promoting sustainability

for the alliance of rural community-rural community college?”

The findings that emerged from the data analysis are presented here by way of the

primary research questions that follow a logic-model design of context, process, and

results. Thus, the four sections of this chapter are:

• Context: How do community and community college leaders describe the

strategies needed to develop a sustainable economic rural community college-

rural community development?

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• Process: How do community college leaders describe changes in the sustainable

economic community development relationship between the rural community

college-rural community?

• Results: What do community and community college leaders perceive to be

effective strategies for promoting sustainable economic community development

for the alliance of rural community – rural community college?

• Summary of Findings

Individual interviews were conducted with the six community college and

community leaders to ascertain information about how the sustainable economic

community development between the two could improve. Three community college

leaders and three community leaders were utilized for the study. All of the volunteer

participants have been given pseudonyms to keep their identities anonymous, and all

information provided by the participants will remain confidential. The interview protocol

also aligned with the research questions. Community college leaders chosen for the study

were ones who were involved in working directly with the community college and

community in an effort to obtain data that were consistent among the community college

leaders. To further substantiate the findings, a database of information collected during

the study was developed as one way of helping other researchers who might wish to

replicate the study. The interviewees were both male and female. Ages of the

community college and community leaders ranged from 40-60 and their experience in the

profession ranged from 10 to 30 years.

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In the first section of this chapter, findings from the document review and participant

interviews provide a description of the context in which the rural community college and rural

community are situated. In the second section, findings from participant interviews provide

insights into college and community interaction. In the third section, findings from document

review and participant interviews provide understanding of the perceived results of rural

community college and sustainable economic rural community development interaction.

Context: How do community and community college leaders describe the strategies

needed to develop a rural community college sustainable economic rural community

development?

In this first section of Chapter Four the findings are presented from the findings from

the data analysis of the first research question regarding the strategies needed to develop a rural

community college sustainable economic rural community development. The data were

derived from interviews with the six study participants, from participant observation, and from

a document review of the community college and the community. The descriptive themes

which emerged from the data analysis include:

1. Community College

a) Regional Identity and Attitude: Small, rural, comprehensive institution

b) Regional Identity and Attitude: Community-attuned

c) Regional Identity and Attitude: Dynamic Approach

2. Community

a) Regional Identity and Attitude: A sense of place

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b) Regional Identity and Attitude: A sense of time

c) Regional Identity and Attitude: A sense of work

This study comes at a time when rural community colleges have been facing a public

increasingly interested in return on investment in higher education, and searching for ways to

increase that investment. Rural community college leaders have proposed that a rural

community college cannot be accurately assessed with a close examination of the community

where they are situated and their relationship with those communities. Hence, at the heart of

the rural community college mission is connecting with and indeed joining other community

institutions to bolster the community, to provide educational opportunities to its citizens not

only for workforce development but for overall quality of life. Thus, the first consideration for

this study is a contextual examination of both the rural community college and the rural

community under exploration.

The Community College. The site of this study is a community college located in a

rural region. It is a two-year community college serving predominately the residents of two

counties, as well as neighboring counties in a border state. It is situated in a rural community

with an approximate population of 15,000 surrounded by mountains, lakes, and rives with

fishing and tourism being its prominent source of tax revenue. It’s current student base is

approximately 1,500 students, coming from a two county and bordering state.

Regional identity and attitude. The six community college and community leaders

who participated in the study expanded on the preceding information about the community and

community college by offering their perception of the unique characteristics of the community

college. The data analysis of community college characteristics elicited one over-arching

theme – Regional Identity and Attitude. This theme of Regional Identity and Attitude

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developed from a fusion of three sub-themes which emerged from the study participants’

interview responses: (a) a small rural comprehensive institution; (b) community-attuned; and

(c) dynamic approach. These sub-themes permeated the data, both oral and written. Taken

together, the local history, geography, and economy of the community and community college

intermingled to create a certain regional identity and attitude described by the study

participants.

Small, rural, comprehensive institution. The first research findings revealed a strong

sense that the small, rural, comprehensive institution, among the study participants, defined

here as recognition and respect for the community college’s location and natural environment.

The community college is a public, open-access two-year campus serving students in a two

county and northern border state. The campus is located in the heart of the mountain range,

within minutes from two fresh water lakes and two rivers. CL3 quantified the community

college: “The college meets a need for the local people in that it is close and they can earn a

degree and get a better paying job.” CL4 states:

“I have quite a bit of experience in university and I have seen a lot of them, a
lot of program development including program development for economic
development. I will say that this institution is a little unusual in that it supports the
physical facilities as well. It supports programming as well, which is quite brilliant,
actually. I think the community college does a . . . good job at attempting to balance
different missions. One of the missions is higher education, helping people to move on
in the intellectual rule of pursuance, and they do that. But there is also a job training
component, and I think the community college does a . . . good job of matching its
programs to the community needs, and even more importantly, of addressing those
needs. I am impressed that the community college recognizes that the basic skills gap
that is here. The mixed goal of the community college which is of course higher
education and transfer students into a four-year university and move on in that
direction, enrich their lives and the lives that depend on them. And it has a vocational-
technical goal as the two are welded together.”

Community Attuned. The second research findings revealed a strong sense that the

community attuned, among the study participants, defined here as a recognition and respect for

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the community college with the community. CL 4 gives a definition of this: “The community

is deeply rooted in the community college. Both are influenced by the other; it’s a two-way

street. Those tendrils run both ways. And good for the community college recognizing that

unmet need. There are a lot of places that don’t and won’t.” CL6 states:

“Our community has two sides. One side is relatively progressive compared to
other rural communities in neighboring counties. This side is comfortable financially
and enjoys the things this community has to offer and is able to travel outside the
county. The second side is very different. They struggle to meet the demands of
everyday life and really don’t see a way out. This side is just surviving another day
while trying to meet the needs of their family. The community college is a spring board
for those starting their careers and also provide education and training for those who
need skills to enter the work force. So it helps the people who are struggling by
offering workforce development programs. I mean, can you even picture our
community without the community college now? I certainly can’t.”

Dynamic approach. The third research findings revealed a strong sense that the

dynamic approach among the study participants, defined here as a recognition and respect for

the community college. “The community college is a reflection of the community it serves.

They are tied in a symbolic relationship that is so intertwined that most people either take it for

granted or don’t see the connection at all” (CL1). CL2 had a succinct view:

“Our strengths lie in our partnerships. This is the most giving community I’ve
ever seen. The community has seen fit to bestow on the community college millions of
dollars of art, finest physical facilities in the state. There is so much support for the
community college. While we have the most beautiful campus for a community
college in the state, not just be the most beautiful campus, but to surround . . . students
with this particularly suited to learning. It shows the community values their
community college students through the physical. They see that they are in a building
usually reserved for small, expensive liberal arts campus students. So they are
surrounded by the very best and that tells them [students] that they are valued by the
community and the community college. The community college has been gifted with
Rembrandt paintings, Asian artifacts and all sorts of different art including worldwide
recognized performances that the students are surrounded with. That lets the students
know that they are enveloped in this culture of value and they belong with this valuable
artifact. I think that is very unique to the community college. The same approach
applies with the technical education, having some of the finest mechatronics in the state
and soon to be nation. Again, the finest nursing program around a great simulation
room donated to the community college by the community medical center. The

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community college is investing a lot because of our community and the education of
the students, whether it’s liberal arts, science, or technical education, it’s very unique.”

The Community. The site of this study is a community located in the South within a

national scenic area. The primary community is approximately 12,000 residents situated

within a county of approximately 41,000 residents, covering 587 square miles – or 75 persons

per square mile. The community is located approximately 100 miles from a larger

metropolitan area. The primary community falls into the metropolitan category set by the U.S.

Office of Management and Budget (2012) defined as an area with a population of 10,000 to

49,999, plus surrounding counties that are linked by commuting patterns. The U.S. OMB

definition, which remained in place at the time of this writing (Economic Research Service,

U.S. Department of Agriculture, 2012), stated that these metropolitan areas often represent

important economic and trade centers in rural areas. The definition held true of this

community. A review of Bureau of Economic Analysis (2015) data for the years 1969-2008

revealed that the county’s population grew from 9,943 to 38,386 or 23.1% during that 40-year

period. By comparison, the percentage of population growth for the state was 47% and for the

nation, 52.2%, during that same time period (BEA, 2015). The county population is

predominately white, with an estimated 1.66% Hispanic or Latino population as of 2015 (BEA,

2015).

Fishing, tourism, and forest products have long been the underpinning of the area’s

economy. As well, the area’s economy has long been bolstered by two major rivers which run

through the region, and two major lakes. Today, tourism has become one of the driving forces

for the area’s economy.

Regional identity and attitude. The six community college and community leaders

who participated in the study expanded on the preceding information about the community and

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community college by offering their perception of the unique characteristics of the community.

The data analysis of community characteristics elicited one over-arching theme – Regional

identity and attitude. This theme of regional identity and attitude developed from a fusion of

three sub-themes which emerged from the study participants’ interview responses: (a) a sense

of place; (b) a sense of time; and (c) a sense of work. These sub-themes permeated the data,

both oral and written. Taken together, the local history, geography, and economy of the

community and community college intermingled to create a certain regional identity and

attitude described by the study participants.

A Sense of Place. The first research findings revealed a strong sense of place among

the study participants, defined here as a recognition and respect for the community’s location

and natural environment. This prevailing view was quantified by CL2: “Our local community

is unique. I’m sure they are all but ours is particularly unique in that it is a really good example

of how a community and a community college can partner to create something strong.” CL3

reiterated, “. . . our community has remained pristine, [being isolated] keeps us away from the

corridor [interstate] that drugs run up and down. We are off the beaten path.” CL4 states,

“This community is deeply rooted . . .”

The rivers and lakes flowing through this community seems to underlie the

community’s sense of place. Surrounding by steep mountains, river valleys, and soaring

palisades, the community is situated in a river valley, the heart of the community is positioned

on the beaches of the lakes. As CL2 states “We have the most beautiful campus in the state,

and not just be the most beautiful campus, but to surround our students with this is particularly

suited to learning. It shows we value our students through the physical.” CL3 underscored

that by stating, “We have a history here.”

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This sense of place, referenced by the participants, contributes to a regional identity that

grows out of the region itself, which is sprawling and rural, extending beyond the community

boundaries and county lines, and following the lakes and rivers to include two other counties.

When the participants discussed their community, they referenced city, county, and region

interchangeably. CL5 made this representative assertion: “Our community has taken on the

attitude of blurring the boundaries between the community and the state, and that is a huge

strength.” In this same vein, CL6 noted the reciprocity among these bi-county rural

communities, “We are unique in that we service multiple counties. We have our own small

airport that is beneficial to the surrounding counties. That creates this reciprocal relationship

that is critical to a rural community.” And CL1 added this commentary about the community’s

location: “We are a gateway, if you will. It’s either the front or the back! We have some

beautiful country around us . . . we easily draw from the surrounding counties and the state just

north of us.”

Community and community college leaders also discussed the location of the

community as it pertained to transportation and access. They underscored the disadvantage of

the community location with regard to transport and people, citing lack of interstate highway

and railway. “I believe that our location, our very isolated location, and we are isolated in a

different way because we are 2 ½ hours from any larger area. We are really in a rural location

even for our state because we do not have the infrastructure that comes through, we do not

have the highways that come through, we are isolated being located in the mountains. This is

our challenge to us as it relates to economics, to jobs” (CL3). CL6 further addressed the

isolation of the community: “I believe at this point the community and the community college

cannot survive without each other!”

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A Sense of Time. Second, the research findings revealed a strong sense of time with

the community and community college. As the community and community college leaders

described the people and the activities of the community and community college today, they

often did so through historical references and turns-of-phrase which emphasized their

awareness and appreciation of local history and of hearty ancestry. Two historical references

are frequently linked to the characterization of the area. First, the region is recognized as one

of the best locales in the United States in fishing for trout. Second, the area is celebrated as a

critical juncture for the Cherokee Indians in their move to the west via the Trail of Tears. CL3

observed, “We have a history and appreciation of history. There is a pride in the community

and the community college of our history.”

Other community and community college leaders described the people in the

community in terms of determined and hard-working pioneers. CL3 articulated the

community’s historical connection this way:

“Those ancestors and others that arrived, in many instances, their descendants have
remained to continue the stabilization of the community. And along with that, the drive
to engage in education and slowly build a place of where these rural people could
engage in education, is remarkable.”

Other participants described the community citizens in similar terms, highlighting

strength, independence, determination, and a pioneering spirit. “The people of this community

are strong and independent. They have created a community that faced adversity and survived.

There is a lot of perseverance here” (CL1).

A Sense of Work. The third research findings revealed another element of this

regional identity, a strong sense of the community’s place-based regional economy and worth

ethic. CL3 explained it:

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“The community college, in the beginning, met a need for the local people in that it was
close and they could earn a degree and get better paying jobs. The community college
was filling the pent up need of the backlog of the people in the community who had
wanted to get a degree, but were unable to travel the 2 ½ hours any direction [north,
south, east, west], so the community college was able to really fill a need for the local
people to upgrade their skills to get more money for their skills. The people in the
community are determined, hardworking, and want a better life for themselves and their
families.”

“The community provides employers and the community college provides job ready

employees” stated CL6.

The opportunities for work and industry in the community are starting to expand. For

example, tourism, small businesses, retail trades and services continue to grow. CL6 went on to

say, “The project with the most impact on the citizens of the community is the technical center

at the community college. That will fill an enormous need in the community.” CL1 explained

it further,

“The community college has been directly involved in the recruitment of a
manufacturing expansion opportunity for the community. The community college has
worked directly with the company and state economic development officials to develop
a training program that would address the company’s concerns of adequate workforce
skills to staff its expansion. This led way to a new program and a nearly $2 million
investment by the company in facilities and equipment for the community college. So,
the college started a new program aimed at moving people from unemployment to a
position of workforce readiness. This is a partnership between the community college
and a large number of social service agencies in the area. The primary focus will be to
engage individuals receiving service from any of the participating agencies into an
education continuum that allows them to enter employment with job readiness and life
skills training. This is a direct response to the community and employer leaders
indicating that more employees with higher skill sets are needed to sustain the economy
of the

community.”

Summary: Context. In summary, the community college of this study is a small, rural

comprehensive community college serving approximately 1,500 students annually. It serves a

two county and one border state geographic region described in the previous section and its

mission statement is to “LEAD through educational opportunities: Lifelong learning, Enhanced

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quality of life, Academic accessibility, and Diverse experiences.” The study participants

described the community college as being community-attuned and taking a dynamic approach

to its work. The community-attuned theme referred to in the study participant’s perceptions of

the college as being integrated and in sync with the community. The dynamic approach theme

represented a continuum of related community perceptions about the college’s proactive

approach to its work.

Community leaders demonstrated a strong sense of regional identity and attitude. The

majority of the community’s citizens have a strong work ethic and community theme of place

and time, and the work ethic permeates the community college as they do the community as a

whole. The study’s participants understand their economy as place-based, and believe that

sustainable community development between the community and community college is

desired, attainable, and within reach working together. The study participants recognize that

the community college is an integral part of the community’s proactive, sustainable community

development attuned, and is dynamic in its approach to attaining this goal.

Process: How Do Community and Community College Leaders Describe Changes in the

Sustainable Economic Relationship Between the Rural Community College-Rural

Community?

This second section of Chapter Four presents the findings from the data analysis of the

second research question regarding the processing of the rural community and the rural

community college in changes in the sustainable economic community development

relationship between the two. The data derived from the interviews of the six study

participants. The study participants were community college and community leaders including

community college administration and community business executives. The findings respond

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to the question: How do community and community college leaders describe changes in the

sustainable economic relationship between the rural community college-rural community?

Three themes emerged from the data analysis:

1. Community and Community College Leadership and Partnership

2. Community College Regionally Driven Instructional Programs

3. Community and Community College Presence

Community and Community College Leadership and Partnership. The study

participants were asked the question “How do community and community college leaders

describe changes in the sustainable economic relationship between the rural community

college-rural community?” CL1 responded: “The community college leaders have been

directly involved in the recruitment of a manufacturing expansion opportunity in the

community. The community college worked directly with company and state economic

development officials to develop a training program that would address the company’s concern

of adequate workforce skills to staff its expansion. This has led to a new program and a nearly

$2 million investment by the company in facilities and equipment for the community college.”

And CL2 expanded on this: “The community college works closely with community partners

to develop curriculum. They have got recruiters and case managers to guide students all the

way to a job. They then get out of the line to serving someone else. That is exactly the point.

That is a really unique thing, I’ve never seen much of that, so I am really proud of the

community college for not only using partnerships in the traditional way and doing that better

than most but from a non-traditional approach.”

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This is a prominent theme throughout all of the study participant’s responses; the

partnership with industry to build programs at the community college to enhance the workforce

for not only a sustainable economic community development, but for the community college to

create a sustainable economic workforce. CL3 give a specific instance of utilizing state dollars

for the partnership of the community college and the community: “We have a history here;

that’s another thing interesting that needs to be mentioned regarding sustainability with the

community and the community college. The former chancellor of the community college got

involved with the State Department of Corrections, which is a whole other entity, to come and

assist the community college with big maintenance and building jobs on the campus. What a

way for state dollars to be used effectively in rural community partnerships to help each other.

These kind of partnerships are going to have to develop for there to be sustainability.”

CL4 talked about working with community leaders and the overarching concern was

the workforce either not being sufficiently trained or refusing to do the job required. The

example was:

“I talk to area employers all the time and the common complaint is that they
cannot get people to do a good job; they will work when they show up. I say maybe
pay a better wage and the employers tell me that when they do that, the workers will
collect their paycheck for the week or two weeks they worked, they would get a little
money in their pocket, more money than they ever had, and would not come to work
anymore. The employers have to start the hiring process all over again. They went on
to say that their turnover was worse when they paid more wages. If you can do
something about that mindset, and the community college is doing that, I think that will
improve to make it easier for employers to attract more productive workers.”

Community College Regionally Driven Instructional Programs. As mentioned

before, the study participants found that there is a strong drive with partnerships of the

community college and community industry in their efforts to produce a quality workforce for

community industry and businesses to ensure that production as well as productivity is

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sustained. With this focus, CL1 talked about the new $2 million investment by a company

with a branch located in the rural community to

“. . . to develop a training program that would address the . . . concerns of adequate workforce

skills to staff its expansion . . . resulting in a new facility and equipment for the community

college.” CL5 expanded on this: “the medical facility in the community, which is a huge

source for the community college graduates, finds that the quality graduates from the

community college has been a driving force behind expanding their facilities. The community

college works with high schools, giving these students exposure to higher educational training.

There is an instructional program whereby high school students can take college course

concurrently, get college credit, and have their first two years of college completed by the time

they graduate from high school. That is and will continue to be a strength for them to continue

on with their education.” CL6 was succinct in their reply: “The instructional program with the

most impact on the lives of high school graduates, or really anyone seeking job training, is the

new technical center at the community college. That will fill an enormous need in the

community.”

Community and Community College Presence. The community and the community

college are located in an isolated region, surrounding by lakes, rivers and mountains. There is

no prominent infrastructure that comes through the community and there is no major city

located nearby. The community is considered being ‘off the beaten path.’ That is considered

to be a good thing and a bad thing, according to the study participants. “I know with all rural

areas there is a connotation of being isolated, but we are kind of isolated in a different way

because we are 2 ½ hours from any larger area. We don’t have a major airport close, we are

really in a rural location because we don’t have the infrastructure that comes through, we don’t

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have the highways that come through, we are isolated being located in the mountains. Unlike

major cities in the state, they have rural areas around them and they have the infrastructure

around them, so I think that is a challenge to us as it relates to economics, to jobs” participant

CL3 responded. CL3 went on to clarify the isolation of the community: “It is also what

allows our community to remain pristine, it keeps us away from the corridor that drugs run up

and down, it doesn’t mean we don’t have that in our community, but we are not located near an

interstate. A good thing about a rural community is it allows the children to be children, not be

pushed into what television says children should be. The children are not exposed to the ‘hurry

up and grow up,’ to mature quickly. They can be children and play outside. They are not

pushed into the adult crowd too soon. That is a challenge in many ways, but the needs for

today, this is an exception of that for a rural community”

CL2 emphasized the uniqueness of the rural community and the rural community

college: “The perceptions of a rural community and community college is that I think ours is

different. It is a really good example of how a community and state organization can partner to

create a successful endeavor that could and will have an enduring future.” CL1 brings it

together by stating: “The local community college is a reflection of the region it serves. The

primary purpose for the creation of the rural community college is to bring the access of higher

education services and opportunities to a focused region enriching the lives of those served.

The rural community and the rural community is tied in a symbiotic relationship that is so

intertwined that most people either take it for granted or don’t see the connection at all. The

economic health of the community has a direct impact on the college.”

CL2 reiterates on the locale and presence of the community having such a unique

community in its midst: “Our local community is unique. I’m sure they all are but ours is

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particularly unique in that it is a really good example of how a community/state organization

can partner to create something strong. Our strength lies in our partnership. We have the most

giving community I’ve ever seen. The community has seen fit to bestow on the campus

millions of dollars of art, finest physical facilities in the state. There is also a great high school

and lots of support for the community college. While we have the most beautiful campus in

the state, not just be the most beautiful campus, but to surround our students with that so that is

particularly suited to learning. That lets the students know that they are enveloped in this

culture of value and they belong with this valuable artifact. I think that is very unique to us.”

Summary: Process. The themes that emerged from the data analysis of interviews

with six participants regarding how the community and community college leaders describe

changes in the sustainability relationship between the rural community college-rural

community: a community leadership and partnership network, regionally driven instructional

programs, and the community and community college presence. The community and the

community college network through workforce partnerships that will allow the community

leaders to better understand the community’s requirements to the community college, and to

create a network of partnerships, which have resulted in developing productive and rewarding

relationships that have yielded solutions to the community’s challenges by including regionally

driven instructional programs in welding, mechatronics, nursing, natural resources, and high

school student advancement. As such, the community college’s integral role in these

community partnerships leads to a strong presence in the community as one of the vital forces

in the region’s successes. The community college is involved in the community, and vice

versa, in myriad ways, most notably through business connections and involvement, as well as

the resources and facilities to help fulfill the community needs.

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Results: What Do Community and Community College Leaders Perceive to be Effective

Strategies for Promoting Sustainability for the Alliance of Rural Community-Rural

Community College?

This section of Chapter Four presents the findings from the data analysis of the third

research question regarding the results of effective strategies for promoting sustainability for

the alliance of rural community-rural community college. The data was derived from

interviews of the six study participants. The study participants were community college

administration leaders and community leaders. These findings resulted from the question:

What do community and community college leaders perceive to the effective strategies for

promoting sustainability for the alliance of rural community-rural community college? The

data analysis elicited two key themes that answered this third research question:

1. Improved Economy and Skilled Workforce

2. Strengthen Community College and Community Leadership

Improved economy and skilled workforce. The community and community college

leader’s responses emphasized the work of the community and community college working

together to train and advance the local workforce, creating, ultimately, a positive sustainable

economic development in the local economy. They talked about the need for a skilled

workforce to ensure positive sustainable economic development in the local economy and how

having the community college in the community is generating the needed skilled workforce

which has resulted in the expansion of local businesses to ensure the workforce can be

productive and beneficial to the local economy. “The community college doesn’t rest on

success. The community college continues to pursue programs that will benefit and contribute

to the health and sustainability of the community” (CL6). CL1 emphasized the pubic

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beneficial aspects of the community college’s contributions: “The community college

continues to be on the cutting edge of using technology to assist in the delivery of instruction.”

CL2 underscored the public benefit of the community college working with the community:

“The community college works closely with community partners to develop curriculum.” CL3

spoke about the community college’s sustainable economic vitality being tied to the

community: “We have created opportunities and changed thousands of individuals lives who

make up our community, so I think at the individual level, the community college has made a

huge impact.” CL5 listed several aspects of the community college’s sustainable contributions

toward positive development in the community: “Community college leaders are active in

Rotary, Lions, Chamber of Commerce, sitting on the Board of Directors of the medical center,

working with high schools with the Promise Grant, local industry infusing $2 million into the

community college as well as their facility to ensure skilled workers will be available.”

In supporting the positive sustainable economic development, all of the study

participants responded that the community college’s role in workforce training of the local

workforce has been a major result of the community college and the community partnerships.

“Find an area employer who has an improved workforce is the bottom line because the training

costs have gone down, the workforce is more stable, the employer is more productive and more

profitable. Now they are able to expand the employment base and the productivity” noted

CL4. “Within the past five years, we have developed a complete technical center and program;

within the last five years we have now automotive training; HVAC and mechatronics that are

really needed in the community and the community has really jumped in and helped us with

that” CL2 emphasized.

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Community leaders have also underscored how a skilled workforce improved not only

individual lives, but has also improved the community’s sustainable economic development

and livability. The following quote describe the community’s sustainable economic

development as a result of partnering with the community college:

The community members, individually, have contributed to the arts on campus, with
individual foundation money, significantly that the community college could build the
new simulation building, sustain the campus buildings, maintenance so that the grounds
of the community college so that they have more and the state will allow more. The
community members have given enough money to the campus so that the community
college will have an ongoing maintenance above what the state provides. The
community leaders have given the community college millions of dollar for a
simulation center for the health program. The local medical industry has given the
community college $1.5 million for expanding the college’s medical labs. The local car
dealership donated a 10,000 square feet building for the tech center. So, providing the
facilities and the remodeling the facility itself is a very physical representation of their
support.” (CL2)

The second quote illustrates the community leader’s emergent awareness of the

sustainable economic partnership between the community, as a whole and individually, and the

positive beneficial results of the skilled workforce development:

The education within these structures, each program, it is easy to teach standard
programs-nursing, math, English, those things, but when the community college gets a
customized degree, it is very important that it be sustainable to the community. Over
saturate a market and then people cannot get a good job, so the community has stepped
in to help the community college build programs that the community will hire from.
That is a big thing! The community leaders have helped develop these programs for a
better path for students. The community leaders have told the community college
leaders what they needed to be taught so they would be hired and be sustainable. So,
not only does the community help the community college build the buildings but they
help build the curriculum they need so that the students are well placed in jobs. (CL2)

Finally, CL3 described the results of the community college sustainable community

development as having an impact that is surpassing all expectations for a positive future, not

only for the community, but for the community college: “It’s going to take a lot of hard work

to sustain, but it just might make it.”

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Strengthen Community College and Community Leadership. The community

leaders discussed the community leadership as both the process of community college and

community being sustainable and the economic development of the community college and

community partnerships. In this section, community leadership is presented as a finding

related to the results of the community college and sustainable economic community

development. In response to the question about what type of strategies might enable the

community to advocate successfully for sustainability development with administrative and

legislative policies that affect community college services in rural areas, the study participants

reflected on the improved efficacy of community leadership overall as a positive and as a

public benefit derived in part from the community college sustainability to the community’s

economic development. Community leaders have learned to work collaboratively and have

learned to build on that unity to develop a more unified political influence on the community’s

behalf.

Some of the community leaders reflected on the unique individuals who have been part

of the community leadership and the unique situations that reflected in the community: “We

have to communicate with each other consistently. The community should expect the

community college to be constantly monitor the needs of employers and interest of students in

an effort to meet the demands of an ever changing economy. It is the community’s

responsibility, along with the community college, to demand the attention of our legislators and

support the efforts of the partnership. Here is where I believe success will produce more

success” (CL6). CL1 also reported: “The combination of the variety of services being

delivered by governmental agencies across any community college region would be a prime

strategy that could drive legislative policies in the future. Small rural community college such

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as ours are surrounded by six to 10 governmental agencies all serving the same 1000 to 2500

people. A strategic and policy shift could save millions of dollars and perhaps provide more

revenue to directly serve the students.” CL3 reinforced the belief that the community and

community college leaders work together to strengthen the partnership because of the

challenges of what state legislation might create:

“I think we are going to have to take a very strong look at doing more with less
because we are seeing that as our legislative dollar’s decrease. We are going to have to
listen carefully to what the legislators and the . . . you hate to do things based on
politics, but that is just the reality. I think what speaks always is dollars, so anytime we
can impact the economy of our community, if we can prove impact on the economy
that will sustain, and of course, there is a whole lot wrapped up in that. That means that
we have got to have the right programs, we have to treat our students and we have to
treat each other respectfully so that we can all work together in an environment where
we can really affect change in the community to move forward.”

The interview data also revealed that community leaders felt their unified relationship

with one another fostered more political influence, and ultimately, success in their sustainable

economic community development endeavors, especially with the community college. CL5

expanded upon this:

“If community leaders, when they come together with politicians and with
government representatives, when the community leaders can show that they are all
together, that the community and the community college are on the same path, for
example, look at this combined group coming to you asking for your assistance in
something that is going to better the community and give you a payback. Good
intentions can get you hired. It necessarily makes sense to apply a business model to
the community college – community sustainable economic development knowing there
is going to be a payback But the key thing is just work together, don’t assume that you
are a specialist, an economic leader expert, and educational leader expert.
Collaboration is the term I want to use here.”

Summary: Results. In summary, the results of the community college and sustainable

community economic development that were identified by the community leaders who

participated in this study center around two themes:

1 Improved Economy and Skilled Workforce

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2 Strengthen Community College and Community Leadership

The community college’s contributions to creating a diversified local sustainable

economy and to providing local workforce development that can lead to local employment

were noted. The community college’s role in the improved unity of the local leadership,

including leadership wisdom such as the importance of a shared community college-

community vision, the recognition of regional aesthetic value, and taking a leveraged approach

to seeking financial capital were also highlighted. And, finally, the importance of the

community college’s presence and involvement in the community as well as the community’s

generous giving of dollars, facilities, and scholarships in bolstering both the community’s view

of itself and the outsider’s view of the partnership between the community college and the

community was underscored.

Evaluation of Findings: Chapter Four

The results obtained from the qualitative thematic analysis were supported by the

literature of the subject. As expected it was found that the rural community and the rural

community college leaders were in favor of establishing a criterion for the sustainability

economic development for the rural community-rural community college partnership to

achieve a deeper knowledge acquisition and understanding for the economic sustainability

development. Although the rural community-rural community college leaders were in favor of

the acquisition and understanding of the partnership, they admitted the need to have adequate

time and planning to integrate the economic sustainability development into the overall five

and ten year plans for the rural community-rural community college alliance. These findings

then imply the prerequisite for a proper application and implementation of the integrated

partnership theory which is the framework of this study. Hickey (2012) and Pendergrast et al.

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(2012) described that integrated partnership should create positive benefits to the rural

community-rural community college. Meanwhile, Hacieminiglu (2014) supported the rural

community-rural community college leaderships’ notion that the integration may be difficult

given that it could mean extra time and work for them; increasing their already hectic and busy

work schedules.

In the second research question, the rural community and rural community college

leaders believed that indeed, the integration of an established criterion for a sustainable

economic development partnership may lead to the application and connection of the two

groups to achieving their long range goals. The participants as a whole agreed with this

initiative. The negative effects of the integration were reported to be minimal that it does not

affect the strong belief of the leadership that the integration should generate the rural

community-rural community college population awareness on community growth in general.

Finally, the leadership in this study shared that the best method of incorporating a

sustainable economic development through an established criterion is through the inclusion of

the criterion for the population as a whole. The literature majorly reported how the rural

community usually integrated the rural community college by connecting both concepts into an

established criterion. However, in this case, the leadership proved a specific goal of creating

an established criterion as the main vehicle in which they integrate and apply the criterion for

the benefit of the public.

Based on the findings above, it can be observed that the results of the study should

increase the call and need for other rural community-rural community colleges to attempt in

practicing the implementation of integrating an established criterion in to their leadership

public plan. The leadership of the rural community and the rural community college may learn

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and gain insights from the narratives and experiences shared by the six participants. The

current study should help in realizing the need of a more intensified incorporation of an

established criterion for long range planning, and to avoid creating this long range plan without

the sense of identity and awareness about their region’s history, culture, and civic competence.

Summary

In Chapter 4 of the study, the findings from the interviews, discussion, and document

review with the six rural community-rural community college leaders were discussed. Again,

the purpose of the qualitative multiple case study was to discover the leaders’ perceptions on

the outcomes of creating an established criterion in creating an economic sustainable

development between the two. Using a qualitative content analysis, the three research

questions were addressed through the main themes established. Several other themes were also

formed and presented to fully present the perceptions and experiences of the participants on the

effectiveness of the integration of an established criterion on sustainable economic

development for the rural community-rural community college. Chapter 5 contains the

discussion of the findings, the limitations and recommendations, implications, and conclusion.

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Chapter 5: Implications, Recommendations and

Conclusions

The work of rural community colleges is tied inherently to their local rural

community by virtue of the founding legislation and mission of the rural community

college (Miller & Deggs, 2012). The connections, interactions, and actions of a rural

community college flow from and into the community. The rural community college

typically plays a vital role in myriad aspects of the rural community (Crookston &

Hooks, 2012). Rural community colleges serve their surrounding community region in

an effort to reverse negative trends such as stagnant economic sustainable growth and

outmigration. Any employment growth and decline in a given rural community is often

influenced by the larger sustainable economic and political context (Crookston & Hooks,

2012). In this era of accountability, developing a more comprehensive understanding of

rural community colleges’ relationship, roles, and results in their respective rural

community, especially with regard to economic sustainability growth, is important. The

nature of the rural community college and community sustainable economic development

and the results of these efforts are important yet challenging to understand.

The rural community college and the rural community are at a crossroads as rural
community colleges face shortages in leadership, budget, faculty, and more importantly,

the students (Evans et al., 2015). The rural community college draws from its rural

community to fulfill these shortages. The reasons for the shortages have been attributed

to the additional burden of rural community colleges surviving in a market system that

have been catapulted in both the private sector and public institutions into a global arena

(Crookston & Hooks, 2012). The promise and openness of the rural community college

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and the fluctuating boundaries between the rural community and the rural community

college are both its strength and its greatest challenge (Mellow & Heelan, 2008). Rural

community colleges must depend on the rural community to be a collaborative

sustainable member (Evans et al., 2015). The problem is that an evaluation of the rural

community college with promoting sustainable rural economic community development

is necessary to assess their role due to the lack of an established criterion (Yang et al.,

2015).

The specific problem of the rural community college in sustainable rural

economic community development is that the rural community college and the rural

community stakeholders may not fully understand that the lack of an established criterion

in the sustainable economic development could be directly affecting their potential

growth (Simmons et al., October 2015). There is limited research available that assess

the quality of sustainable economic development between the rural community college

and the rural community (Evans et al., 2015). Currently, few empirical studies have

examined the nature in conjunction with rural community colleges and their sustainable

economic development for rural communities to facilitate or improve this collaboration

(Evans et al., 2015).

Implications

Although the study only included the perceptions and experiences of the six

leader participants, it was ensured that their narratives were analyzed thoroughly to

maximize the meanings and essences of their responses. By doing so, the themes

established successfully addressed the research study questions and general objectives.

From the findings presented in Chapter 4 and the interpretations discussed in Chapter 5,

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is strongly believed that with this current research study, the effectiveness and

importance of an established criterion is substantiated. The results of the study can

benefit the rural community, the rural community college, educators, community leaders,

and the society to experience positive changes once the integration of an established

criterion has been applied correctly and in a more formal manner. The study can then

allow for the key decision makers of the rural community-rural community college to

develop insights on the importance of the established criterion on the lives of the rural

community and the rural community college as well as the effectiveness of the theory of

an established criterion integration.

By developing these insights, the key decision makers can then perform more

concrete actions into reinforcing the application and integration of the established

criterion into a more sustainable economic development for the rural community and the

rural community college. Finally, and in the long run, the efforts of creating an

established criterion for the sustainable economic development of the rural community-

rural community college partnership can create socially aware and active members of the

society to apply these concepts into their lives and the world around them.

Limitations

The limitations that may have affected the conclusions of this study was that the

original ten study participants were reduced to six study participants. The four potential

participants that did not participate were elected officials of the community. The six who

did

volunteer may have been more confident in their leadership identity and more

comfortable speaking about their leadership and open to exploring the answers to the

questions asked of them. Additionally, some of the participants were more talkative and

109

eloquent than others and some of the participants may have given answers that they

thought would please the researcher (Jakobsen, 2012; Lizzo, Andrews, et al., 2011). The

six study participants were in working environments that were considered stable careers

rather than having to campaign for their position. Thus, the skill, background, and

experiences of the researcher may have led the six study participants to feel comfortable

in sharing their views, vision, critical observations, and hopes for a brighter future in their

rural community college and rural community. Lastly, the results of the study may not be

transferable to a larger population because of the small study size and the use of

purposeful sampling (Patton, 2012).

However, recognizing these limitations and the effect that the limitations may

have had on the conclusions, the study is still valuable. It is an exploratory study, and

therefore not striving for the results to be generalizable, but looking to start the process of

investigating the perceptions of the rural community college sustainable efforts with its

rural community development. Various measures were put in place to mitigate the effect

of the limitations of the study. Because of the study design, analysis process, and study

alignment, the results can be considered trustworthy and valuable in presenting the

perceptions of the sustainable economic development with the rural community college-

rural community.

Significance

This study is significant because the nature of the rural community college and

rural community sustainable economic development and the results of these efforts are

important to understand, yet challenging to analyze and communicate. The “promise and

openness [of the rural community college], and the fluctuating boundaries between the

110

rural community and its rural community college are both [its] strength and [its] greatest

challenge” (Mellow & Heelan, 2008, p. 14). Thus, the utilization of systems and external

perspectives, which take into account that the whole is greater than the sum of its parts,

may prove to be a helpful lens for the endeavor of understanding the impact of a rural

community college on its rural community sustainability for development (Ashford,

2013; Hicks & Jones, 2011; Jacobs, 2012). The rural community college, in most of rural

America, is one of, if not the only, entity that offers a comprehensive program of

workforce training, yet issues of institutionalization of reforms within an organization,

particularly located in a rural community, are problematic to sustain. There are few

studies from this particular lens that have actually examined the sustainability of reforms

over a long period of time (Grayson, 2012). This study will provide critical insight into

developing a better understanding of the problems facing the rural community college in

promoting sustainable economic rural community development.

Implications

This chapter reviews the purpose and significance of the study and presents a

summary of the data themes detailed in Chapter Four. It then provides the implications,

recommendations, and conclusions in relation to the literature, participant interviews,

analyzes the limitations of the study, offers consideration for professional practice and

further research.

The purpose of this multiple case study was to examine the role a rural

community college plays in the sustainable economic development of a rural community.

The study examined community leaders’ perceptions of their rural community and its

rural community college, the interaction between the rural community and the rural

111

community college, and the results of that interaction. The participants in the study were

six community and community college leaders, included business executives and higher

educational administration.

Collaborative regional efforts that encompass stakeholders from traditional and

nontraditional education institutions and organizations, e.g., community colleges, non-

profits, governmental agencies, business, and alternative schools, that are willing to

develop strategic alliances and sustain the effort may be able to effectively develop

solutions for issues associated with scarce resources, lack of technical experts, as well as

geographical isolation or a decentralized community base (Attard, 2012; Coburn, Russell,

Kaufman & Stein, 2012). The concept is here, but to make it work in rural communities,

the leadership must work in a collaborative venue, not in isolation (Jones & Yarbrough,

2013). While a rural community college’s connection to its community is largely

inherent, a full understanding of the rural community college-rural community interaction

and the impact of those interactions on the rural community as a whole is often difficult

to articulate (Jones & Yarbrough, 2013). Given today’s demands on higher education

institutions to defend their benefits to the public, it was determined that a more

comprehensive understanding of a rural community with regard to sustainable economic

development and the impact on the rural community it serves (Battersby & Verdi, 2015).

Thus, the rural community college sustainable efforts toward the rural community’s

economic develop was the focus of this study. The intent was to provide a community

college-community based view of the contexts, interactions, and results.

This first section of Chapter Five summarizes the data themes presented in

Chapter Four. Next, the data themes are synthesized into significant findings and

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discussed within the framework of the three research questions: (1) How do community

and community college leaders describe the strategies needed to develop a rural

community college-rural community sustainability? (2) How do community and

community college leaders describe changes in the sustainability relationship between the

rural community college-rural community? (3) What do community and community

college leaders perceive to be effective strategies for promoting sustainability for the

alliance of rural community-rural community college?

The data and subsequent findings were derived from interviews with the six study

participants, from participant observation, and from a document review of the rural

community and the rural community college. The themes/findings which emerged from

the data analysis were:

1. The community college was characterized as being:

a. regional identity and attitude including being small, rural,

comprehensive institution;

b. regional identity and attitude including being community-attuned;

c. regional identity and attitude including using a dynamic approach.

2. The community was characterized by:

a. regional identity and attitude including a sense of place;

b. regional identity and attitude including a sense of time;

c. regional identity and attitude including a sense of work.

3. The community college and the community interacted by way of:

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a. a community and community college leadership and partnership;

b. community college regionally driven instructional programs;

c. community and community college presence.

4. The results of the community college-community interaction were:

a. improved economy and skilled workforce;

b. strengthen community college and community leadership.

In this study, five significant findings emerged from a synthesis of data themes

and an alignment of those data themes to key language from the literature. The term

“significant” in this study is used to convey importance, not to convey statistical

significance. They are as follows:

1. The community defined itself through a regional, rural lens and was

characterized by an interconnectedness of its people to the land and to the

history of the region.

2. The community college and the community invested in reciprocal

relationships and collaborated on mutually beneficial pursuits.

3. An improved regional economy and skilled workforce were identified as

positive community changes, and the community college’s contribution to

those positive changes were cited as a public benefit.

4. A community and community college leadership network with increased

confidence in collaboration, understanding of community assets, and

efficacy in sustainable community economic development was recognized

114

as a positive community change, and the community college’s

contributions to those positive changes were cited as a public benefit.

5. An enhanced community college and community image and an optimistic

community outlook were identified as positive changes were cited to a

public benefit.

The discussion that follows is organized by the three research questions and the

corresponding significant findings. Thus, the first section covers research question one:

“How do community and community college leaders describe the strategies needed to

develop a rural community college-rural community sustainability?” and the single

corresponding significant findings.

The second section covers research question two: “How do community and

community college leaders describe changes in the sustainability relationship between the

rural community college-rural community?” and the single corresponding significant

findings. The third section covers the research question three: “What do community and

community college leaders perceive to be effective strategies for promoting sustainability

for the alliance of rural community-rural community college?” and the two corresponding

significant findings

Research Question 1 Findings. How do community and community college

leaders describe the strategies needed to develop a rural community college-rural

community sustainability? The findings of research question one did emerge in response

to the first research question regarding the context of the study: The rural community

defined itself through a regional, rural lens and was characterized by an

interconnectedness of its people to the land and to the cultural history of the area.

115

Through this lens this finding highlighted the importance of both the natural capital and

the cultural capital of the rural community.

The importance of the context in this study was three-fold. An interpretive study,

the underlying assumption was that a description of the context was part of the complex

whole, and therefore, central to building understanding of the research topic (Coburn,

Russell, Kaufman & Stein, 2012). Also, as a case study, the context of the study was

important because “the phenomenon under study is not readily distinguishable from its

context” (Yin, 2011, p. 4). Finally, for this rural community college-rural community

study, it was important to view the findings through a systemic lens, interpreting how the

rural community was situated in its natural and social environment (Parker, 2010).

The six rural community college and rural community leaders who participated in

this study described the rural community in terms of an interconnectedness of people to

place and broad geographical definition of the community. They spoke proudly about the

community’s rural characteristics, geographical location, natural resources, and cultural

history. They emphasized the rural nature of the community, viewing the community’s

physical location as noteworthy, with regard to natural resources and livability. Taken

together, the study participants’ reflections on their rural community revealed a palpable

rural and regional identity and attitude, punctuated by the interconnectedness of its

people to the area’s natural and cultural environments.

The six rural community college and rural community leaders also made repeated

references to the community college’s embrace of the community, noting that it reached

out to serve the community. The college’s planning efforts, leadership networking and

partnerships, and program development strategies were all cited as evidence of the

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college’s regional, rural orientation. The college’s nursing, mechatronics, welding, and

natural resource programs were noted as reflections of the community. In fact, all of the

six study participant’s descriptions of the community and community college were often

intermingled: “I believe at this point the community and the community college cannot

survive without each other!” (CL6). Thus, this finding about the rural community’s

regional identity and approach included the rural community college as well and reflected

the literature’s emphasis on the relationship of the rural community college to their

unique locale, “Colleges. . . are place-based institutions, deeply affected by their local

environment” (Harkavy & Hodges, 2012, p. 3).

The significance of this study’s findings that the rural community defined itself

through a regional, rural lens and was characterized by an interconnectedness of its

people to the land and the cultural history correlated with the literature. The context of

this study was presented as a rural community wherein the people viewed themselves as

interconnected with the rural community college and the importance of developing

strategies to sustain the economic development of both.

Research Question 2 Findings. How do community and community college

leaders describe changes in the sustainable economic relationship between the rural

community college-rural community? The findings emerged in response to the second

research question regarding changes in the sustainable relationship between the rural

community college and its rural community. The rural community and its rural

community college have invested in a reciprocal relationship and have, and are,

collaborating on mutually beneficial pursuits for the sustainable development of both.

This finding also highlighted the importance of the development of the social capital

117

between the rural community college and its rural community. All of the six study

participants cited the financial investment the rural community has put into the rural

community college as well as the partnerships that have sprung up in recent years to

encourage economic sustainable growth for both the community and the community

college. The partnerships of the community and community college leaders was

described as an effective means which had been developed among leaders from the

community college, industry, and local commerce. In the course of their narratives, the

study participants underscored the uniqueness of this partnership of leaders, stressing the

importance of continuing to develop partnerships, building mutual understanding,

effective communication, maintaining reciprocity, and fostering trust among the

partnerships. According to CL2, “Our strength lies in our partnerships. We’re investing

a lot because of our community and our community college and the education of the

students . . . it’s very unique.” The descriptions of the community and community

college leadership partnerships from the study participant’s responses, coincided with

three defining factors attributed to the social capital in current social science literature:

partnership, trust, and reciprocity (Flora & Flora, 2013; Grayson, 2012; Gismondi, 2012;

Jones, Stall & Yarbrough, 2013).

Within this section, the process of rural community college-rural community

partnerships for changes in the sustainable economic relationship was represented the

findings for research question 2: the rural community college and the rural community

invested in reciprocal relationships and collaborated on mutually beneficial pursuits for

positive changes. The study participants’ personal experiences with the leadership

partnerships in the rural community and the rural community college as well as their

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perspectives on the process of these partnerships between the two yielded the above

findings. Their responses echoed literature on community capitals, literature on social

capital, literature on community partnerships in higher education, and literature on the

mission and role of the rural community college. These findings represented the study

participants’ responses about partnerships in changes for the sustainable economic

development between the rural community college-rural community.

Research Question 3 Findings. What do community and community college

leaders perceive to be effective strategies for promoting sustainability for the alliance of

rural community-rural community college? Three findings emerged in response to the

third research question regarding effective strategies for promoting sustainability for

alliance: (a) an improved community economy and skilled workforce were identified as

effective strategies, and the community college’s contribution to those strategies were

cited as a public benefit; (b) a community-community college leadership partnership with

increased confidence in collaboration, understanding of community assets, and efficacy

in sustainable economic community development was recognized as effective strategies,

and the community college’s contributions to these strategies were cited as a public

benefit. These findings also highlighted the importance of the investments and the

interactions among the rural community and its rural community college.

First, the study participants identified an improved rural community sustainable

economy and a skilled workforce as positive rural community changes, for which the

rural community college was directly recognized. Specifically, study participants cited

career and technical educational programs at the rural community college which had

recently been developed to respond to the need for local skilled workers as a central

119

factor in the recent upswing in the local economy, attributing it to the sustainable efforts

on the part of the rural community college. Another principal finding of this study was

the rural community college and rural community leaders of their role in the workforce

and sustainable economic development. The study participants’ responses on the rural

community college’s role in sustainable economic development were consist with the

literature on the importance of the rural community college’s roles in local workforce and

sustainable economic development (Coburn, Kaufman, & Stein 2012; Jones, Stall, &

Yarbrough 2013).

The rural community’s workforce and sustainable economic development

achievements cited by the study participants as important results of the rural community-

rural community college partnerships bear many consistencies with the literature on

regional development. The concepts from this study that aligned with the literature on

regional development included: the merit of face-to-face connections, the need for a

community-community college unifying narrative, community stewards practicing

collaborative community -community college leadership, and the shared pursuit and

acquisition of external funding (Coburn, Kaufman, & Stein 2012).

Recommendations

This study examined the role of rural community colleges in promoting

sustainable rural community development, and its impacts on rural community

sustainable economic development from three angles: context, process, and results. The

context of this study was revealed as a rural community wherein the rural community

leaders are to view themselves as interconnected with the area, the culture, and the

history of the area. Within this context, the rural community college was viewed as an

120

integral part of the whole of the rural community. The process of rural community

college-rural community partnerships was represented in the finding: The rural

community college and the rural community are invested in reciprocal partnerships and

the collaboration on mutually beneficial pursuits. The results of the rural community

college-rural community sustainable economic partnerships were represented by three

findings: (a) for the rural community in having an improved sustainable economic

development and a skilled workforce; (b) a rural community college-rural community

partnership with increased confidence in economic collaboration, understanding of the

rural community assets, and efficacy in the rural community sustainable development,

and (c) to have an enhanced rural community image and an optimistic rural community

outlook.

The study participants’ experiences with new rural community college training

programs which promote the training of a skilled local workforce, as well as their views

on improving the rural community sustainable economic development, contributed to

their citing these as positive rural community changes to make and recognizing the rural

community college’s contributions to these changes as a public benefit. As well, the

study participants’ observations of the rural community college-rural community

partnerships, leadership, and increased collaboration, and understanding of the rural

community assets, and efficacy in the rural community sustainable economic

development efforts, contributed to their citing this as positive rural community changes

and recognizing the rural community college’s contributions to these changes as a public

benefit. The study participants’ view was that the rural community needed to be viewed

with an enhanced rural community image and an optimistic rural community outlook, and

121

recognized the rural community college’s contributions to these changes as a public

benefit.

These significant findings aligned with the literature on rural community

sustainable economic and community development; the literature on rural community

development; the literature on asset-based rural community sustainable development

models, especially the partnership with the rural community college and the rural

community industrial economy; and on the literature on mission, role, and accountability

of the rural community college. These finds also highlighted the importance of investing

in the sustainable development of human, social, political, cultural, natural, financial, and

built capital as systemic assets that each will contribute to the rural community college-

rural community sustainable development. The literature on rural community college

sustainable economic rural community developments discussed the importance of

involving a broad-based band of rural community leaders, which could allay the

possibility of biasing sustainable economic development efforts away from under-

represented groups (Flora & Flora, 2013).

The first recommendation for future research would be to expand these results by

conducting a similar study at other universities in the United States, particularly within a

close urban region. Results may be different in another location and would expand

general knowledge on rural community college in sustainable economic rural community

development. The second recommendation for future research consist of using a larger

sample that would include participants with more involvement in the rural community.

For example, the study could include local elected officials and governmental leaders for

more experienced to provide a greater opportunity to identifying the perceptions of a

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larger number of rural community leaders that would not only result in greater depth and

breadth of data collected but also allow for a comparison in less versus more experience

leadership. A third recommendation would be to conduct a quantitative study with a

larger sample once a deeper understanding of rural community college and rural

community leaderships’ perceptions is gained through qualitative study. The fourth

recommendation would be for future researchers to recruit perhaps less invested rural

community college and rural community leaders to address the likely self-selection bias

occurring in this study. This would allow researchers to see a greater breadth of

perception and explore what motivates leadership to put in extra effort in creating

partnerships between the rural community college and the rural community leaders when

they perceive it is needed as a result of lack of a trained workforce. However, in order to

secure a larger sample, a recommendation for future research would be to implement

other recruitment efforts. For example, researchers should meet individuals in positions

that could assist with recruitment. Said individuals can have a positive impact with

respect to encouraging others to partake in research. Another example would be to

include call potential participants as part of recruitment. Asking potential participants to

participate via telephone calls can have better results as everyone does not check their

mail with great frequency.

Additional recommendations would be that future researchers could attempt to

separate and isolate perceptions. Research on the perceptions toward both groups would

assist not only the rural community college leaders but the rural community leaders in

meeting the needs of both. The sixth recommendation for future research would be to

conduct a quantitative study on the effects of the partnership collaboration of rural

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community college and rural community leaders. Moreover, the study would also allow

researchers to assess leadership responses to the collaboration. This study could help

rural community colleges identify if the collaborative partnerships made by leaders in

response to their perceptions are beneficial to the partnership.

Based on the results of this current study, practical application recommends are

presented. The first recommendation for practical recommendation would be for rural

community college leadership to understand that rural community leaders tend to quickly

formulate perceptions of collaborative partnerships and adjust their strategies based on

these perceptions. The second recommendation would be for rural community leadership

to assess rural community college leaderships’ perceptions. Furthermore, the third

recommendation for rural community college leadership would be to design professional

partnerships with rural community leaders, and vice versa. By acknowledging that the

rural community college leadership and the rural community leadership develops

perceptions rather quickly, both groups can address the process of developing perceptions

and establishing perceptions while developing the partnerships. The fourth

recommendation would be having both groups of leaderships to build an infrastructure

within the two groups that could assess the collaborative partnership as it is developing

and alleviate potential negative issues that may arise.

Conclusions

“We used to think that if we knew one, we knew two, because one and one are

two. We are finding that we must learn a great deal more about ‘and’”

(Eddington, 1920, p. 103).

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The purpose of this qualitative multiple case study was to explore the rural

community college sustainable economic development within the rural community

environment, and perspectives on critical factors relating to the sustainability. The

research questions were designed to delve in the context, interaction, and results. The

findings and conclusions have provided information to answer each of the research

questions.

Regarding context, it was concluded that the study participants’ believed that the

context of this study was revealed as a rural community wherein the rural community
leaders are to view themselves as interconnected with the area, the culture, and the

history of the area. Within this context, the rural community college was viewed as an

integral part of the whole of the rural community. In the area of interaction, it was

concluded that the process of rural community college-rural community partnerships is

invested in reciprocal partnerships and the collaboration on mutually beneficial pursuits.

In the area of results, it was concluded that the results of the rural community college-

rural community sustainable economic partnerships were represented by three findings:

(a) for the improved rural community in having an improved sustainable economic

development and a skilled workforce; (b) a rural community college-rural community
partnership with increased confidence in economic collaboration, understanding of the

rural community assets, and efficacy in the rural community sustainable economic

development, and (c) to have an enhanced rural community image and an optimistic rural

community outlook.

These conclusions may have been affected by several study limitations including

the original ten study participants were reduced to six study participants. The six who did

125

volunteer may have been more confident in their leadership identity and more
comfortable speaking about their leadership and open to exploring the answers to the

questions asked of them. Additionally, some of the participants were more talkative and

eloquent than others and some of the participants may have given answers that they
thought would please the researcher (Jakobsen, 2012; Lizzo, Andrews, et al., 2011). The
six study participants were in working environments that were considered stable careers
rather than having to campaign for their position. Thus, the skill, background, and
experiences of the researcher may have led the six study participants to feel comfortable
in sharing their views, vision, critical observations, and hopes for a brighter future in their

rural community college and rural community (Patton, 2012).

The study is significant because it gave voice to the rural community college and

the rural community leadership literature (Head, 2011). The voices of the leadership are

an important aspect of understanding the rural community and its rural community

college perceptions (Archard, 2013; Lizzo, Andrews, et al., 2011). This study may also

help to fill several gaps in the literature relating to collaborative partnerships between a

community and its community college (Mortensen et al., 2014).

Given the literature, limitations, findings, and conclusions, it is recommended that

the rural community and the rural community leaders view themselves as important in the

sustainable economic development between the two. It is also recommended that the

rural community and its rural community college be recognized as important contexts in

the leadership sustainable community economic development.

126

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Appendices

139

Appendix A

Test Instrument: Interview Protocol

Project Title: The Role of Rural Community Colleges in Promoting
Sustainable Economic Rural Community Development, A
Multiple Case Study

Principal Investigator: Terri D. Anderson, Northcentral University Ed.D.
Candidate

Date of Interview:

Time of Interview:

Study Participant Identification Code:

Thank you again for consenting to participate in this study. I will record the interview so

the data I gather will be as accurate as possible. Remember that you may request that

the tape recorder be turned off at any point in the interview. (If the participant has not
agreed to audio-recording, then say: I will be taking notes during the interview so the
data I gather will be accurate.)

Semi-structured open-ended interview questions may include:

A. Understanding the Context of the Rural Community and the Rural Community

College:

1. What is your position and role in the community?
2. What are the community’s challenges, problems, or needs today?
3. Please describe your professional pathway to becoming part of the

rural community college.
4. Describe your perception of the characteristics of the local community

college.
5. What do you see as the college’s mission and purpose?
6. How important is the community and this unique locale to the

college?

B. Understanding the Process of College-Community Sustainability

Development

7. In what ways does the community college and community partner?

140

8. From your perspective, in what ways have ASUMH leaders worked
with other community leaders in community sustainable economic

development efforts?

C. Understanding the Results (outcomes, impact, positive change) of Rural

Community College-Rural Community Engagement on Community

Sustainability Development

9. What positive changes have you seen in the community in the past 5-

10 years with regard to the community college?

Closing Questions: I have a summary question for you.

10. What type of strategies might enable districts to advocate successfully

for sustainability development with administrative and legislative
policies that affect community college services in rural areas?

That concludes my interview questions. Do you have any additional comments you would

like to share? Do you have any questions regarding the study?

Thank you for participating in this interview. The next steps are:

1. I will transcribe the interview and deliver the transcription to you so that you can

review it for accuracy and completeness. I will deliver it marked as

‘Confidential.’ I will include directions for your response.

2. Next, if you would like the opportunity to clarify, modify, or expand the

transcribed information, I will happily schedule a follow-up meeting with you. As

well, if I have follow-up questions, I will ask them at that time.

Thank you again for participating in this interview. Your perspectives as a rural

community leader are very important for this study. And I appreciate the time you have

dedicated to this interview

141

Appendix B

Informed Consent Document

The Role of Rural Community Colleges in Promoting Sustainable Economic Rural

Community Development, A Multiple Case Study

Sustainable economic rural community development serves as one of the premier

development efforts emphasizing strategies to increase the competitiveness of rural

community, local economic base and the rural community college to enhance rural

residents’ quality of life. I am working on a dissertation research project at Northcentral

University that involves surveying rural community leaders and the rural community

college administration about development efforts in the community.

You are being asked to participate in the study to gather information about your thoughts,

actions, or decisions regarding sustainable economic rural community development.

Your participation in this study is completely voluntary. You may skip any questions

that you feel uncomfortable answering. Your individual responses will remain strictly

confidential. Any information received will not be associated with you. There are no

foreseen risks from participating in this study.

The following people are involved in this project and may be contacted at any time:

Researcher:

Terri Anderson

T.Anderson0630@ncu.edu

Dissertation Chair:

Dr. Robin Buckley, Ph.D.

rbuckley@ncu.edu

142

The survey will take no longer than 30-40 minutes of your time. I greatly appreciate your

participation. It is only the generous help of people like you that this research study can

be successful. You are encouraged to ask questions at any time during this study.

If you have any questions about the rights of research subjects or research-related inquiry,

please contact the Institutional Review Board at Northcentral University at irb@ncu.edu,

Phone 928-541-7777, 10000 E. University Drive, Prescott Valley, AZ 86314.

Thank you for participating in this study! We would be happy to answer any questions
you may have. Please direct your questions or comments to either myself or my
Dissertation Chair:

Terri Anderson, Researcher
T.Anderson0630@ncu.edu

Dr. Robin Buckley, Dissertation Chair
rbuckley@ncu.edu

Respectfully,

Terri Anderson
Ed.D. Candidate
Northcentral University

143

I have read the above description for the “A Case Study of the Role of Rural Community

Colleges in Promoting Sustainable Economic Rural Community Development” study. I

understand what the study is about and what is being asked of me. My signature

indicates that I agree to participate in the study.

Participant Name (print)

Participant Name (signature)

Researcher’s Name (print)

Researcher’s Name (signature)

Date: ___________________________________________________________________

i

Sustainability of community-managed projects in
the North West Region of Cameroon

Victor Agha-Ah Mah

Supervised by:
Dr Julia Shaw
Dr Gordon Bowen

A thesis submitted to Cardiff Metropolitan University in partial fulfilment of the
requirements for the degree of
Doctor of Philosophy

2016

ii

Declaration

This thesis is a product of my own work and no portion of it has been submitted in support
for another degree to this university or other institutions of higher learning. The contents of
the thesis are not the result of anything done in collaboration and the author takes
responsibility of any errors herein contained.

iii

Dedication

To God, the Almighty, for keeping me healthy throughout this process

iv

Acknowledgements

I would like to thank my supervisor, Dr Gordon Bowen and Director of Studies, Dr Julia
Shaw, for the invaluable guidance offered me through constructive comments during this
research. My appreciation to Prof Eleri Jones, Prof Don Harper and Dr Nandish Patel for the
assistance and involvement in the PhD programme at London School of Commerce and
Cardiff Metropolitan University will be unforgettable. I appreciate the intellectual and
valuable comments of Prof Peter Abell and Prof Robin Matthews to my research strategy and
interview questionnaire.
My sincere gratitude goes to all participants who took part in both the interview process and
questionnaire administration that provided me with better insights into what is here presented.
The challenges encountered were there to strengthen me and to ensure the attainment of the
research objectives designed to guide this study. Finally, my greatest appreciation is to my
wife and my parents for their relentless moral and financial support throughout the course of
my study.

v

Abstract

There is wide recognition among contemporary researchers that sustaining community-
managed projects in rural areas remains a herculean challenge. Empirical evidence shows that
about 65% of community-managed projects in sub-Saharan Africa including Cameroon are
not sustainable. Community management is one of the strategies widely adopted by project
providers at grassroots levels to ensure the sustainability of community projects, yet
sustaining these projects after the depature of donor agency has remained a difficult task. It
was in furtherance of this approach that this study set out to gain insights into why sustaining
community-managed projects in the NWRC after being handed down to the grassroots has
proven to be challenging despite the widespread popularity of community management as a
bottom-top development strategy that allows grassroots community members to have overall
support for their project ongoing operations.
The study was guided by five objectives, and data were collected through 4 focus
group discussions held with projects end-users, 12 interviews granted to project committee
staffs, traditional authorities and political elite. Additional data were gathered through a
survey questionnaire administered to 77 respondents in the four chosen community-managed
project sites, documentary review and on-the-spot appraisal of projects. Qualitative and
quantitative analyses of the data paved the way for the drawing up of meaningful conclusions
and suggestions of ways to improve the sustainability of community-managed projects in the
NWRC.
What emerges from the data collected, analysed and interpreted enabled the study to
conclude that the strategies adopted so far by community project providers in the NWRC
were not effective. The implementation of these projects disregarded the traditional beliefs
and practices of end-users and engendered loss of access to shrines, groves and forest-based
or water-based resources without providing alternatives. The findings equally show that
increasing temperature and reducing amount of rainfall result in a greater incidence of
bushfires, which threaten the sustainability of some community-managed projects. Handing
down project management to a local community is not synonymous with sustainability. If
community-managed projects are to be sustainable, they require the project end-users to have
a real sense of ownership and control over the project‟s ongoing operations as well as an
increase in governance capacity and environmentally friendly practices.

vi

Table of Contents
DECLARATION…………………………………………………………………………………………………………………. II
DEDICATION……………………………………………………………………………………………………………………. III
ACKNOWLEDGEMENTS ………………………………………………………………………………………………… IV
ABSTRACT …………………………………………………………………………………………………………………………. V
TABLE OF CONTENTS ………………………………………………………………………………………………………. VI
ACRONYMS ………………………………………………………………………………………………………………………. XI
CHAPTER 1 …………………………………………………………………………………………………………………………. 1
1:0: INTRODUCTION …………………………………………………………………………………………………………… 1
1.1: BACKGROUND CONTEXT ……………………………………………………………………………………………. 2
1.2: RESEARCH RATIONALE ………………………………………………………………………………………………. 5
1.3: PROBLEM STATEMENT AND ITS SIGNIFICANCE……………………………………………………….. 8
1.4: RESEARCH QUESTIONS …………………………………………………………………………………………….. 11
1.5: AIM AND OBJECTIVES OF THE STUDY …………………………………………………………………….. 12
1.6: GEOGRAPHICAL LOCATION OF THE STUDY AREA …………………………………………………. 15
1.7: DESCRIPTION OF THE FOUR SELECTED COMMUNITY PROJECT CASES ………………… 17
1.8: SUSTAINABILITY VERSUS UNSUSTAINABILITY ……………………………………………………… 27
1.9: RESEARCH CONTRIBUTION ………………………………………………………………………………………. 29
1.10: OPERATIONAL DEFINITION OF KEY WORDS …………………………………………………………. 31
1.11: RESEARCH STRUCTURE ………………………………………………………………………………………….. 33
CONCLUSION ……………………………………………………………………………………………………………………. 35
CHAPTER 2: LITERATURE REVIEW …………………………………………………………………………………. 37
2.1: THE POLITICAL ECONOMY OF CAMEROON …………………………………………………………….. 37
2.2: SOCIO-CULTURAL ISSUES IN CMPS ………………………………………………………………………….. 43
2.3: ENVIRONMENTAL CHALLENGES ……………………………………………………………………………… 54
2.4: TECHNICAL CAPABILITY CHALLENGES ………………………………………………………………….. 58
2.5 GOVERNANCE/INSTITUTIONAL ISSUES IN CMPS …………………………………………………….. 63
2.6: ECONOMIC OR FUNDING CHALLENGES ………………………………………………………………….. 74
CONCLUSION ……………………………………………………………………………………………………………………. 79
CHAPTER 3: THEORETICAL AND CONCEPTUAL FRAMEWORK …………………………………….. 82
INTRODUCTION ……………………………………………………………………………………………………………….. 82
3.1: THEORY OF SUSTAINABILITY ………………………………………………………………………………….. 83
3.2 COMMUNITY MANAGEMENT THEORY …………………………………………………………………….. 89

vii

3.3: SOCIO-CULTURAL THEORIES IN COMMUNITY MANAGEMENT ……………………………. 101
3.4: COMMUNITY GOVERNANCE MODEL ……………………………………………………………………… 105
3.5: THE CONCEPT OF STAKEHOLDER ………………………………………………………………………….. 109
3.6: THE DEMAND-DRIVEN MODEL ……………………………………………………………………………….. 113
3.7: CONCEPTUAL FRAMEWORK …………………………………………………………………………………… 115
3.8: CONCLUSION ……………………………………………………………………………………………………………. 123
CHAPTER 4: RESEARCH DESIGN AND METHODOLOGY ………………………………………………. 124
INTRODUCTION ……………………………………………………………………………………………………………… 124
4.2: RESEARCH PHILOSOPHY …………………………………………………………………………………………. 128
4.3: RESEARCH APPROACH ……………………………………………………………………………………………. 134
4.4: RESEARCH DESIGN ………………………………………………………………………………………………….. 138
4.5: DATA COLLECTION PROCEDURE AND INSTRUMENTS …………………………………………. 142
4.6: DATA TREATMENT AND ANALYSIS ……………………………………………………………………….. 161
4.7: SCOPE AND LIMITATIONS OF THE STUDY …………………………………………………………….. 164
CONCLUSION ………………………………………………………………………………………………………………….. 166
CHAPTER 5: DATA ANALYSIS AND PRESENTATION OF FINDINGS ……………………………. 169
5.0: INTRODUCTION ……………………………………………………………………………………………………….. 169
5.1: SOCIO-CULTURAL ISSUES IN THE MANAGEMENT OF COMMUNITY PROJECTS IN
THE NWRC ………………………………………………………………………………………………………………………. 170
5.2: PARTICIPANTS‟ VIEWS ON ENVIRONMENTAL INFLUENCES ON COMMUNITY
PROJECT SUSTAINABILITYIN THE NWRC …………………………………………………………………….. 189
5.3: GOVERNANCE/TECHNICAL CHALLENGES IN CMPS IN THE NWRC ……………………… 196
5.4: TECHNICAL CHALLENGES RIDDLING CMPS IN THE NWRC ………………………………….. 208
5.5 ECONOMIC CHALLENGES HINDERING THE SUSTAINABILITY OF COMMUNITY-
MANAGED PROJECTS IN THE NWRC …………………………………………………………………………….. 213
CONCLUSION ………………………………………………………………………………………………………………….. 217
CHAPTER 6: DISCUSSION RESULTS AND RECOMMENDATION …………………………………… 219
6.0 INTRODUCTION ………………………………………………………………………………………………………… 219
6.1: DATA ANALYSED RELATED TO RESEARCH OBJECTIVE 1 ……………………………………. 220
6.2: DATA ANALYSED ASSOCIATED WITH RESEARCH OBJECTIVE 2 ………………………….. 230
6.3: DISCUSSION OF FINDINGS ASSOCIATED WITH RESEARCH OBJECTIVE 3 ……………. 236
6.4: DISCUSSION OF FINDINGS ASSOCIATED WITH RESEARCH OBJECTIVE 4 ……………. 241
6.5: DISCUSSION OF DATA ANALYSED RELATED TO RESEARCH OBJECTIVE 5 …………. 247
RECOMMENDATIONS …………………………………………………………………………………………………….. 252

viii

6.6: INTEGRATE THE SOCIO-CULTURAL BACKGROUND OF PROJECT END-USERS IN
THE ENTIRE FRAME OF COMMUNITY PROJECTS MANAGEMENT ………………………………. 252
6.7: EFFECTIVE CO-ORDINATION OF RESOURCES AT GRASSROOTS LEVELS ……………. 254
6.8: COMPLEMENTARY APPLICATION OF TRADITIONAL AND MODERN TENURE IN
COMMUNITY PROJECT SHOULD BE ADOPTED …………………………………………………………….. 257
6.9: GOVERNANCE IN COMMUNITY-MANAGED PROJECTS IN THE NWRC …………………. 260
CHAPTER 7: SUMMARY OF THE FINDINGS AND FUTURE RESEARCH ………………………… 263
INTRODUCTION ……………………………………………………………………………………………………………… 263
7.1: CONTRIBUTION TO KNOWLEDGE …………………………………………………………………………… 264
7.2: IMPLICATIONS TO MANAGEMENT …………………………………………………………………………. 268
7.3: SUGGESTIONS FOR FUTURE RESEARCH ………………………………………………………………… 270
REFERENCES ………………………………………………………………………………………………………………….. 272
APPENDIX 1: INTERVIEWS …………………………………………………………………………………………….. 301
APPENDIX 2: QUESTIONNAIRE………………………………………………………………………………………. 332
.

ix

List of Tables
TABLE 1.1: LINKING RESEARCH AIM WITH THE QUESTIONS AND OBJECTIVES OF THE STUDY ………….. 15
TABLE 3.1: CONCEPTUAL DEFINITIONS OF STAKEHOLDER ………………………………………………………. 111
TABLE 4.1: DESCRIPTIVE ASPECTS OF THE POSITIVIST PHILOSOPHY …………………………………………. 129
TABLE 4.2: KEY ASSUMPTIONS OF THE INTERPRETIVIST PHILOSOPHY ………………………………………. 131
TABLE 4.3: COEFFICIENT OF RELIABILITY OF THE SURVEY INSTRUMENT ………………………………….. 149
TABLE 4.4: FOCUS GROUP DISCUSSIONS HELD ………………………………………………………………………. 154
TABLE 4.5: COMMUNITIES AND 3% SAMPLE SIZE OF THE 4 PROJECT SITES IN THE NWRC ………….. 160
TABLE 4.6: EFFECTIVE RESPONDENTS IN THE 4 PROJECT SITES IN THE NWRC ………………………….. 161
Table 4.7: ADOPTED APPROACH TO THEMATIC DATA ANALYSIS…………………………..162
Table 4.8: Main themes guiding the data analysis…………………………………………………………..163
TABLE 4.9: EMERGING THEMES IN THE ANALYSIS …………………………………………………………………… 164
TABLE 5.1: VIEWS OF RESPONDENTS ON WHETHER THE DISREGARD OF SOCIO-CULTURAL
INSTITUTIONS AND DENIED ACCESS TO SACRED GROVES AND SHRINES INFLUENCE THE
SUSTAINABILITY OF THEIR COMMUNITY-MANAGED PROJECTS IN THE NWRC ……………………. 174
TABLE 5.2: EMERGENCE OF VILLAGES IN AND AROUND THE MBAI FOREST CONSERVATION AREA
(1958-2015) ………………………………………………………………………………………………………………… 178
TABLE 5.3: LIMITED CONTACTS BETWEEN PROJECT PROVIDERS AND TRADITIONAL LANDLORDS
AFFECTED AN UNDERSTANDING OF SOCIO-CULTURAL LIFE OF PROJECT END USERS IN THE NWRC
…………………………………………………………………………………………………………………………………. 181
TABLE 5.4: VIEWS OF RESPONDENTS ON HOW VIOLATION OF TABOOS ENGENDERS CONFLICTS THAT
UNDERMINE THE SUSTAINABILITY OF COMMUNITY-MANAGED PROJECTS IN THE NWRC ……… 183
TABLE 5.5: TYPE OF RELATIONSHIP AND THE EXTENT OF SOCIO-CULTURALLY-RELATED CONFLICTS
…………………………………………………………………………………………………………………………………. 202
TABLE 5.6: TEMPERATURE AND RAINFALL VARIABILITY IN THE NWRC (1998-2005) ………………… 191
TABLE 5.7: CUMULATED VIEWS OF RESPONDENTS ON ENVIRONMENTAL FACTORS INFLUENCING THE
SUSTAINABILITY OF THEIR COMMUNITY-DRIVEN PROJECTS IN THE NWR OF CAMEROON …….. 195
TABLE 5.8: CUMULATED VIEWS OF RESPONDENTS ON THE INFLUENCE OF GOVERNANCE ISSUES ON
THE SUSTAINABILITY OF THEIR COMMUNITY-MANAGED PROJECT IN THE NWRC ………………… 207
TABLE 5.9: VIEWS OF RESPONDENTS ON THE QUANTITY AND QUALITY OF EXPERTISE INVOLVED WITH
THEIR COMMUNITY-MANAGED PROJECT AND HOW THAT AFFECTS THE SUSTAINABILITY OF THE
PROJECT IN THE NWRC………………………………………………………………………………………………… 213
TABLE 5.10: RESPONDENT VIEWS ON THE EXTENT TO WHICH FUNDING CHALLENGES RIDDLE THE
SUSTAINABILITY OF COMMUNITY-MANAGED PROJECTS IN THE NWRC ………………………………. 216
TABLE 6.1: RESPONDENTS‟ VIEWS ON HOW THE DISREGARD FOR SOCIO-CULTURAL INSTITUTIONS OF
PROJECT END-USERS HAS LED TO DENIED ACCESS TO SACRED GROVES AND SHRINES AND
SUBSEQUENTLY THE SUSTAINABILITY OF COMMUNITY-MANAGED PROJECTS IN THE NWRC … 225
TABLE 6.2: DESCRIPTION OF THE TRADITIONAL AND MODERN CONSERVATION SYSTEMS IN MBAI
FOREST CONSERVATION PROJECT AREA …………………………………………………………………………………. 258

x

List of Figures
FIGURE1.1: STATEMENT OF THE PROBLEM ………………………………………………………………………………. 11
FIGURE 1.2: LOCATION OF THE STUDY AREA ……………………………………………………………………………. 15
FIGURE 1.3: THE BALI COMMUNITY-MANAGED WATER NETWORK COVERAGE OF NWRC …………….. 18
FIGURE 1.4: THE MBAI COMMUNITY-MANAGED FOREST PROJECT IN THE NORTH WEST REGION OF
CAMEROON ………………………………………………………………………………………………………………….. 22
FIGURE 1.5: KINGOMEN HYDRO-ELECTRIC SUPPLY PROJECT …………………………………………………….. 24
FIGURE 1.6: FUJUA-NGWAINKUMA-FUNDONG-MENTANG COMMUNITY WATER NETWORK COVERAGE
IN NWRC …………………………………………………………………………………………………………………….. 26
FIGURE 1.7: STRUCTURE OF THE THESIS ………………………………………………………………………………….. 35
FIGURE 2.1: STRUCTURE OF CHAPTER 2 ………………………………………………………………………………….. 42
FIGURE: 3.1 OUTLINE OF THE CONCEPTUAL AND THEORETICAL FRAMEWORK ……………………………… 82
FIGURE 3.2: A NARROW CONCEPTUALIZATION OF SUSTAINABILITY …………………………………………… 85
FIGURE 3.3: BROAD CONCEPTUALIZATION OF SUSTAINABILITY …………………………………………………. 88
FIGURE 3.4: CONCEPTUALIZING SUSTAINABILITY WITHIN THIS STUDY ……………………………………….. 28
FIGURE 3.5: EVOLUTION OF COMMUNITY MANAGEMENT MODEL ……………………………………………… 90
FIGURE 3.6: CONCEPTUAL VARIABILITY OF COMMUNITY …………………………………………………………. 96
FIGURE 3.7: THE PRINCIPLES OF THE COMMUNITY-MANAGED GOVERNANCE MODEL ………………… 107
FIGURE 3.8: CONCEPTUALIZING KEY STAKEHOLDERS IN THE MANAGEMENT OF PROJECTS IN THE
NWRC……………………………………………………………………………………………………………………….. 113
FIGURE 3.9: DETERMINANTS OF THE WILLINGNESS TO PAY FOR USER FEES IN COMMUNITY-
MANAGED PROJECTS …………………………………………………………………………………………………… 115
FIGURE 3.10: FRAMEWORK OF FACTORS AFFECTING THE SUSTAINABLE MANAGEMENT OF
COMMUNITY PROJECTS ………………………………………………………………………………………………… 118
FIGURE 3.11 DEVELOPED CONCEPTUAL FRAMEWORK FOR SUSTAINING CMPS IN THE NWRC …….. 121
FIGURE 4.1: STRUCTURE OF THE METHODOLOGY CHAPTER …………………………………………………….. 126
FIGURE 4.2: CHOSEN RESEARCH PHILOSOPHY ……………………………………………………………………….. 133
FIGURE 4.3: ADOPTED RESEARCH APPROACH ………………………………………………………………………… 136
FIGURE 4.5: CATEGORIZATION OF DATA COLLECTION SOURCES ……………………………………………… 143
FIGURE 4.6: CONCEPTUALISATION OF COMMUNITY STAKEHOLDERS IN THE NWRC …………………… 152
FIGURE 4.5: SPATIAL DISTRIBUTION OF SUCCESSFUL IN-DEPTH INTERVIEWS IN THE STUDY AREA . 156
FIGURE 4.8: ADOPTED RESEARCH METHODOLOGICAL FRAMEWORK ………………………………………… 167
FIGURE 5.1: VIEWS OF RESPONDENTS ON WHETHER LIMITED REGARD FOR SOCIO-CULTURAL
PRACTICES OF PROJECT END-USERS BY PROJECT PROVIDERS AFFECTS THE SUSTAINABILITY OF
COMMUNITY-MANAGED PROJECTS IN THE NWRC ……………. ERROR! BOOKMARK NOT DEFINED.
FIGURE 5.2: TRANSFER OF TENURE RIGHTS FROM TRADITIONAL LANDLORDS TO PEOPLE WHO DO NOT
HAVE AUTHORITY IN MATTERS OF TENURE IN MBAI COMMUNITY FOREST AREA …………………. 185
FIGURE 5.3: OMBROTHERMIC DIAGRAM OF THE NWRC (1998-2005) ……………………………………….. 193
FIGURE 6.1: SOCIO-CULTURAL BREACH MODEL OF BALI COMMUNITY-MANAGED PROJECT IN THE
NWRC……………………………………………………………………………………………………………………….. 223
FIGURE 6.2: THE RELIEF OF BALI SUB-DIVISION ……………………………………………………………………… 233
FIGURE 6.3: FOREST DESTRUCTION BY FIRE IN MBAI RESERVE WITHIN KILUM-IJIM FOREST PROJECT
AREA ………………………………………………………………………………………………………………………….. 235
FIGURE 7.1: A GRASSROOTS-CENTRED PARADIGM MODEL FOR ENHANCING THE SUSTAINABILITY OF
COMMUNITY-MANAGED PROJECTS IN THE NWRC …………………………………………………………… 265

xi

Acronyms

Acronyms Meaning
BACODA Bali Community Development Association
BACOWAS Bali Community Water Supply
CEMMON Centre for Environmental Management and Monitoring
CMPs Community-managed projects
CIGs Common Initiative Groups
CWP Community Water Project
CEP Community Electrification Project
CFP Community Forest Project
CF Community Forestry
CAQDAS computer-assisted qualitative data analysis software
oC Degree Celsius
DFMIs Delegate for Forest Management Institutions
ETM Enhanced Thematic Map
EBSCO A database for online information services (EBSCO is an acronym
for Elton B. and Stephen Co. created in 1944)
EThOS E-theses online service
FMA Forest Management Agreement
FMIs Forest Management Institutions
FMOs Forest Management Officers
FUDA Fujua Development Association
FUVIDA Fundong Village Development Association
GDP Gross Domestic Product
HEP Hydro-Electric Power
HEVELTAS

INC
Swiss Association for International Cooperation

Institute for National Cartography
KIFP Kilum-Ijim Forest Project
KCWP Kumbo community Water Project
LMIs Local Management Institutions
MENDU Mentang Development Union
MCFs Management of Community Forests
MM Millimetre
NGOs Non-governmental Organizations
NWRC North West Region of Cameroon
SATA Swiss association for Technical Assistance
SNEC Société Nationale des Eaux du Cameroun
SDC Swiss Agency for Development and Cooperation
UNDP United Nations Development Programme
USB Data storage device ( meaning Universal Serial Bus)
VDAs Village development associations
WWF World Wide Fund for Nature

xii

Author’s Publications
Two international conference papers
1) Stakeholder Networking: Sustainable Community Development in Emerging
Countries
2) Vulnerability of rural communities in the developing countries
Academic journal papers
1) A case study on the significance of indigenous socio-cultural practices to the
sustainable management of community projects in sub-Saharan Africa (pending
publication)
2) Strategies for enhancing the cultural legitimacy of mitigation and adaptation to
climate change in Africa (pending publication)

1

Chapter 1
1.0: Introduction
The world has entered an era of competition in which communities strive to become
great places to live. Today the biggest incentive for tourists and investors to move to a
new community is the living conditions (Komives et al., 2006; Park, Lee, Choi, &
Yoon, 2012). This implies that better living conditions in communities are a key
attraction factor. With this in mind, most rural communities in less developed
countries are running a series of projects in a bid to enhance living conditions for the
present and subsequent generations by utilizing skills and resources available locally
(Aksorn & Charoenngam, 2015; Gilmore & Standaert, 2013). However, sustaining
these community projects at the grassroots level across the developing countries,
notably in sub-Saharan Africa including Cameroon, remains a difficult task after the
departure of donor-supported agencies (Sally et al., 2013; Anselm, 2013; Njoh,
2011).
This thesis argues that despite the widespread popularity of community
management as a bottom-up development strategy that allows grassroots community
members to have overall responsibility for their projects‟ ongoing implementation, it
is not a prerequisite for sustainability. It is not just the handing down to a local
community of a project management task that will ensure its sustainability.
Community management does not automatically lead to community project
sustainability, nor should it have to. If community-managed projects are to be
sustainable, they require the project end-users to have a real sense of ownership and
control over the projects‟ ongoing operations. Even the sense of ownership and
control of grassroots projects among local communities is influenced by factors.

2

There is scarce empirical research conducted on the underlying factors undermining
the sustainability of community-managed projects in poor rural communities of the
North West Region of Cameroon (Njoh, 2011; Fonchingong, 2009; Fonjong et al.,
2004; Ngwa, 2002). This study fills the gap by examining four community-managed
projects (CMPs) in order to gain insights into why sustaining community-managed
projects at the grassroots remains a difficult task after the departure of donor
supported agency.
1.1: Background Context
In the context of this study, community-managed projects are those projects serving
rural or urban dwellers set up either by governmental, non-governmental or private
agents but currently operated locally by grassroots residents who are neither highly
skilled nor professional project managers (Sally et al., 2013; Whittington et al., 2009;
Fonjong et al., 2004). Yet these projects, particularly in the North West Region of
Cameroon, are still faced with challenges that threaten their successful functioning in
the long term. Some of these projects suffer from irregular maintenance; many find it
difficult to truly be financially and functionally viable. Examples of projects
implemented by these poor and vulnerable communities in the North West Region of
Cameroon include pipe-borne water, irrigation schemes, community schools, health
centres, rural electrification scheme, forest conservation, building of bridges, roads,
halls and dams (Sally et al., 2013; Njoh, 2011; Fonjong et al., 2004).
Therefore, community management model is one of the strategies widely
endorsed to drive rural communities into being self-reliant and to enable them to have
greater control and responsibility over the running of their basic projects (Nkonya et
al., 2012). As a result, a growing number of grassroots organizations are initiating

3

efforts to simultaneously address their environmental, economic, and socio-cultural
constraints (Kanayo et al., 2013); to increase community wellbeing and secure the
long-term health of the human and natural systems at local levels (Leventon et al.,
2014).
The objective of maximizing wellbeing in deprived rural and peri-urban areas
has been a major driving force behind the adoption of community management of
projects by both national and international developmental agencies, notably the World
Bank (Nkonya et al., 2012; Opare, 2011). It is generally defined as the process
whereby the responsibility for ongoing implementation of community projects is
being transferred from project donors to project end-users (Sally et al., 2013; Harvey
& Reed, 2007). It is argued that community management allows local communities to
have a greater say in the management of their own projects (Labonne & Chase, 2011;
Ndiaye, 1999). By this is meant that the beneficiary communities will have full
authority and control over the ongoing implementation of their basic needs. The
fundamental idea behind the concept of community management is that the
beneficiary communities of a project should have a major role in its planning and
ownership, and should have overall responsibility for the project operation and
maintenance.
The assumption is that it instils a sense of ownership and responsibility, and
can subsequently nurture local relationships, all of which impact positively on
sustainable management of local schemes (Turner, 2009). In most parts of the
developing world, especially in the sub-Saharan Africa, community management is
fulfilled through the formation of community-based organizations that are responsible
for implementing, setting and collecting tariffs and managing project maintenance and
repair activities (Padawangi, 2010). This means that community members are

4

expected to contribute in kind or in cash to meet all ongoing maintenance and repair
costs through the regular payment of appropriate project tariffs.
Despite the popularity of community management as a strategy that enables
local communities to gain full control over the ongoing operations of community-
driven projects and to effectively reach out to poor and vulnerable groups within
deprived areas, it is still being questioned (Nkonya et al., 2012; Mansuri & Rao,
2004). Empirical evidence on the sustainability of community-managed projects in
less advanced countries in general and Cameroon in particular remains mixed (Njoh,
2011; Fonjong & Fonchingong, 2005). Among the interesting questions capturing the
attention of researchers is the sustainability of donor-supported community projects
(Komovis et al., 2009; Akinbile, Oladoja, Awoniyi & Adisa, 2006). It is currently
estimated that over 40% of all community-managed projects in Africa are not
functional (Padawangi, 2010; Ademiluyi & Odugbesan, 2008). Recent figures from
individual sub-Saharan African states show operational failure rates of about 35% to
60% (Harvey & Reed, 2007; Fonjong et al., 2005).
The limited sustainability of community-managed projects has been attributed
to community management deficiencies such as weak cost-recovery mechanisms,
inadequate trained project managers and technicians at grassroots level, and weak
local institutions (Spaling, Brouwer & Njoka, 2014; Morris & Hieu, 2008; Datta,
2007). For instance, Njoh (2011) observing two water supply schemes in the South
West Region of Cameroon, argued that the influence of the political elite, corrupt
administrative officials and the perceived lack of real ownership by community
members led to the failure of the community water supply scheme in Mpondu. In the
same vein, making allusion to the community-managed water project in Buea, Sally et
al. (2013) elucidated that water maintenance and extension services are seldom

5

implemented effectively due to the inadequacy of trained personnel and a population
increase in the locality.
1.2: Research Rationale
In the developing world such as Africa most rural communities are reservoirs of
misery and abandonment (Tran, Hallowell & Molenaar, 2015; Ezzat, 2013; Njoh,
2011). For instance, the availability of basic human necessities such as reliable pipe-
borne supply of water, health care, education, electricity supply services and road
infrastructures are in the most part lacking or insufficient. According to Fonjong et al.
(2010), lack of basic amenities in rural communities has most often been levied on
government weak and inbalance development policies that seems to focus
development in urban areas to the detriment of the rural or village areas.
Paradoxically, these lagging rural communities have been noted to be the
breadbaskets of most less economically developed countries since they produce food
in sufficient quantity to feed themselves and the thickly populated urban areas (Bado,
2012; Fonjong et al., 2004). These poorly equipped rural communities go even further
to harvest ertra produce such as banana, cassava, maize, bean, groundnut, cocoa,
coffee, palm oil and honey as well as fruits for both household consumption and
commercialization (Kometa and Ebot, 2010; Fonchingong & Ngwa, 2005).
Unfortunately, these rural communities possess very little information about
most critical national issues; as a result, they are easily manipulated during many
national decision-making processes (Njoh, 2011; Fonchingong & Ngwa, 2005). At the
same time these rural communities contribute a high percentage of the gross domestic
product (GDP) of less economically developed nations including Cameroon but
receive the least of it (Emeh, 2012; Akinbile et al., 2006). Even wellbeing projects

6

such as care homes, health centres, natural reserves, pipe-borne water and electricity
supplies, which are basic necessities in the 21st century, are hard to find in most rural
communities of Cameroon and even the few existing ones are most often not
sustainably managed (Sally et al., 2013; Alasah, 2011, Fonjong et al., 2004).
However, the benefits of supplying a more convenient, reliable and safer
drinking water or electricity to local communities in the less economically advanced
countries have actually been the subject of a wide-ranging research effort during the
past few decades. Most research has dwelled on the existing rapour between
participation and community project effectiveness, on the efficacy of community
projects in ameliorating wellbeing, on the factors and effects of differential access and
control of rural projects especially with respect to gender, and on the role of financial
constraints on the dwindling sustainability of community-driven initiatives (Opare,
2011; Njoh, 2010; Akinbile, 2006; Fonjong et al., 2004; Rondinelli, 1999).
In addition, research has revealed that over one billion people have gained
access to improved basic social amenities such as pipe-borne water and hydro-electric
supplies in recent years and approximately 750 million now are either served by
reliable water or hydro-electric power or both in spite of persistent drawbacks in the
implementation of community projects (Kleemeier, 2010). The United Nations
development programme report of 2011 does acknowledge much of this progress,
describing it as a giant step forward in community development efforts especially in
sub-Saharan Africa. This is because an estimated 40% of community-managed
projects in developing countries are described as being not effectively functional
(Marks & Davis, 2012; Harvey and Reeds, 2007).

7

Specifically, in sub-Saharan African countries including Cameroon, about
551 million people, representing 55% of the total population are without sustainable
access to hydro-electricity and safe pipe-borne water service, while more than half
(300 million) are children and women (Njoh, 2011; Fonjong et al., 2004). The World
Bank in the year 2009 alone was direactly engaged in over 600 rural community
water, electrification and forest conservation projects and had an approximate capital
commitment to them of more than U.S. $30 billion (Mansuri, 2013; Fonchingong &
Ngwa, 2006). The recent United Nations conference on Climate Change and
Sustainable Development held in Paris in 2015 underscored the need to provide more
support to the developing countries where over 3.5 billion people do not have
sustainable access to basic needs (Whittington et al., 2009).
Despite this plethora of literature on sustainable management of community
projects, its constituent core elements and its potential to sustainably deliver services
that are more responsive to local needs (Rautanen, van Koppen, & Wagle, 2014;
Crow, 2013; Whittington et al., 2009; Gleitsmann, Kroma, & Steenhuis, 2007), there
are scarce empirical studies that have investigated the association between the
sustainability of community-managed projects and underlying socio-cultural and
environmental constraints on communities (Marks, Komives & Davis, 2014; Bele et
al., 2013). Consequently, the underlying factors behind the dwindling sustainability of
community-managed projects remain only partially understood.
According to Newton et al. (2015); Fonjong et al. (2013) and Harvey and
Reed (2007) the region of the world where the research gap is most acute is sub-
Saharan Africa. Sub-Saharan Africa including Cameroon is the region with the
highest failure rate of basic needs projects such as delivering reliable water and
hydro-electric power services (Wilbanks & Wilbanks, 2010; Komivis et al., 2009;

8

Whittington et al., 2009). The United Nations Development Programme (2003) thinks
that the water and electricity crisis in Africa is not an issue of sub-Saharan Africa
alone but that of the entire developing world. It described Africa as „water-stressed‟ in
2003 due to factors such as poor management and adverse climatic conditions. As of
now, information is thin about which factors have been effective, under what
conditions, and to what extent they have hampered the sustainability of community-
managed projects in sub-Saharan Africa including Cameroon.
1.3: Problem Statement and Its Significance
It has been argued strongly that the sustainability of community-managed projects in
sub-Saharan Africa is riddled by severe shortcomings in existing management
practices (Crow, 2013; Njoh, 2011; Alasah, 2011). Most problems with community-
managed projects usually occur within 1-3 years after the commissioning of the
approved project (Komovis, 2009; Harvey and Reed, 2007; Fonjong et al., 2004).
Within the context of the North West Region of Cameroon, a wide range of
challenges that cut across socio-cultural, technical know-how, governance, economic
and environmental domains hinder the sustainability of community-managed projects
(Sally et al., 2013; Njoh, 2011; Kometa & Ebot, 2010). The first challenge emanates
from the fact that the management of community projects often relies on voluntary
inputs from community members, which people may make for a while but are
reluctant to continue in the long term. This challenge is made more serious by the fact
that there are usually no long-term incentives for community members (Fonchingong,
2009; Harvey & Reed, 2007).
Secondly, it is argued that vital members on project committees do leave the
community or die and sometimes there are no mechanisms to replace such members

9

with other individuals having similar capabilities (Crow, 2013; Harvey and Reed,
2007). The third challenge to the sustainability of community-managed projects is the
fact that community organizations charged with the management of the projects lose
the trust and respect of the community members (Atangana, 2012; Fonjong et al.,
2012). Similarly, Padawangi (2010) suggested that the causes of the loss of respect
and trust may be related to lack of transparency and accountability, and lack of
regulation by the institution in charge (Opare, 2011; Ankinbile, 2006).
Fourthly, the failure by individual community members to contribute
maintenance fees usually leads to disillusionment among project committee members
and often affects community cohesion (Kaunda, Kimambo & Nielsen, 2012;
Fonchingong, 2009). Another major challenge in the management of community
projects is that the beneficiary communities seldom have contact with the project
implementing agency (Njoh, 2011). Marks and Davis (2012) put forward a similar
viewpoint when they argued that the high rate of project failure in sub-Saharan Africa
is due partly to the absence of contact between community project providers and end-
users, and partly to the community project providers‟ limited knowledge of the socio-
cultural and anthropological background of end-users. Communities in the North
West Region of Cameroon experience similar issues (Alasah, 2011; Kometa & Ebot,
2010; Fonjong et al, 2004) as will be depicted with community forest management
and the community supply of hydro electricity and potable water.
Given the low sustainability of community-managed projects in Cameroon in
general (Fonchingong, 2009; Fonjong et al., 2005) and in the North West Region in
particular, it becomes important to understand why community-managed projects
have had such limited sustainability (Njoh, 2011; Harvey & Reed, 2006). This study
therefore attempts to find out whether deficiencies in the existing community

10

management have any significant impact on the sustainability of community-managed
projects, and under what conditions the sustainability of community-managed projects
in the North West Region of Cameroon could be guaranteed.
Despite the existence of extensive literature on community-managed projects
and the sustainability problems they face in developing countries (Njoh, 2011;
Ademiluyi & Odugbesan, 2008; Mansuri & Rao, 2004), as of now little emphasis has
been placed on the issues of the lack of understanding of the socio-cultural
background of project end-users and inadequate co-ordination of resources between
stakeholders at grassroots level for community forest management, potable water
supply and power generation. On the basis of the issues raised so far on the
sustainability of community-managed projects in the North West Region of
Cameroon, the core problem can be formulated as “community-driven projects in the
North West Region of Cameroon have had limited sustainability and it is necessary to
explore the conditions under which community-managed projects in the region can be
effectively sustainable”. This statement of the problem can be segmented and
modelled into five sub-problems as shown in Figure 1.1 below.

-Funding challenges (maintenance and repairs cost recovery difficulties): Ridde (2003);
Njoh (2011)
-Technical challenges (limited qualified or trained technicians or managers): (Minang,
Bressers, et al., 2007); Sally et al. (2013)
-Socio-cultural challenges (project providers have limited knowledge of the socio-cultural
and anthropological background of end-users): Justine et al. (2012); Fonchingong, (2005)
-Governance challenges (transparency, accountability, role of the law, confidence in
persons implementing community projects): Emeh Eke et al. (2012); Renou (2010);
Proenca (2003)
-Environmental challenges (associated with topography, climate variability and change):
Kometa & Ebbot (2012); Bele et al. (2011)

11

Figure1.1: Statement of the problem

Source: Adapted from literature on community management, 2014
It is against this gloomy background of the limited sustainability of
community-managed projects in the North West Region of Cameroon (NWRC) that
this study has been designed to throw more light on the following research questions.
1.4: Research Questions
This study has one main research question and five specific ones, which are hereby
stated as follows:
1.4.1: Core Research Question
Why have community-managed projects in the North West Region of Cameroon had
such limited sustainability and how can their sustainability be improved?

Limited
sustainability of
community-
managed
projects
Technical
challenges
Socio-
cultural
challenges
Governance
challenges
Environmental
challenges
Funding
challenges

12

1.4.2: Specific Research Questions
1) To what extent does the inadequate knowledge of project providers on the socio-
cultural background of project end-users affect the sustainability of community-
managed projects in the North West Region of Cameroon?
2) Which natural environmental conditions prevail in the North West Region of
Cameroon and how do they impact on the sustainability of community-managed
projects in the region?
3) How do existing technical challenges at grassroots level influence the sustainability
of community-managed projects in the North West Region of Cameroon?
4) How do issues of transparency, accountability and the role of the law affect the
sustainability of community-managed projects in the North West Region of
Cameroon?
5) What funding challenges are common in the North West Region of Cameroon and
how do they undermine the sustainability of community-managed projects in the
region?
1.5: Aim and Objectives of the Study
In order to adequately understand why community-managed projects have had limited
sustainability in the North West Region of Cameroon, this study has set up one main
aim and five specific objectives, which are here formulated as follows:
1.5.1: Research Aim
To understand why community-managed projects are experiencing limited
sustainability in the North West Region of Cameroon so that an effective management

13

framework is formulated to improve the sustainability of community projects in the
study area
1.5.2: General objective
To evaluate existing literature on: a) challenges affecting community-managed
projects, b) the theoretical underpinnings of sustainable community management
1.5.3: Specific Objectives
1) To find out the extent to which knowledge of the cultural background of project
end-users is fundamental in the sustainability of community-managed projects in the
North West Region of Cameroon.
2) To understand how environmental constraints associated with topography, climate
variability and change impact on the sustainability of community-managed projects in
the North West Region of Cameroon.
3) To ascertain the quality and quantity of existing human skills at grassroots level in
the North West Region of Cameroon and how these influence the sustainability of
community-managed projects in the region.
4) To examine the relationship existing between governance in community-managed
projects, confidence in physical persons and the sustainability of community-managed
projects in the North West Region of Cameroon.
5) To investigate common funding challenges in the North West Region of Cameroon
and how they affect the sustainability of community-managed projects in the region.

14

Table 1.1: Linking research aim with the questions and objectives of the study

Source: Derived from the research aim, questions and objectives
Table 1.1 shows the link between the research aim, questions and objectives.
The rationale for breaking down the research aim into research objectives is to guide
the study, which seeks to understand challenges undermining the sustainability of
community-managed projects in the North West Region of Cameroon.
1) To what extent does
inadequate knowledge of the
socio-cultural background of
project end-users affect the
sustainability of community-
managed projects in the North
West Region of Cameroon?

2) What natural environmental
conditions prevail in the North
West Region of Cameroon and
how do they impact on the
sustainability of community-
managed projects in the region?

3) How do the existing quality
and quantity of technicians/
managers at grassroots level
influence the sustainability of
community-managed projects in
the North West Region of
Cameroon?

2) To understand how
environmental constraints
associated with topography,
climate variability and change
impact on the sustainability of
community-managed projects
in the North West Region of
Cameroon.

To evaluate existing literature on:
a) the theoretical underpinnings
of community management and
b) challenges limiting the
sustainability of community-
managed projects.

1) To find out the extent to
which knowledge of the
cultural background of project
end-users is fundamental in the
sustainability of community-
managed projects in the
NWRC.

Research aim

To understand
why
community-
managed
projects are
experiencing
limited
sustainability
in the North
West Region
of Cameroon
so that an
effective
management
framework is
formulated to
improve the
sustainability
of community
projects in the
study area

4) How do issues of
transparency, accountability, the
role of the law and confidence
affect the sustainability of
community-managed projects in
the North West Region of
Cameroon?

3) To ascertain the quality and
quantity of existing human
resources at grassroots level in
the North West Region of
Cameroon and how these
influence the sustainability of
community-managed projects
in the region.

Research
questions
Research
objectives
5) Which funding challenges are
common in the North West
Region of Cameroon and how
do they undermine the
sustainability of community-
managed projects in the region?

5) To investigate common
funding challenges in the
North West Region of
Cameroon and how they affect
the sustainability of
community-managed projects
in the region.

4) To examine the relationship
existing between governance in
community-managed projects,
confidence in physical persons
and the sustainability of
community-managed projects
in the NWRC

15

1.6: Geographical Location of the Study Area
This research covers four projects that are community-managed (in the localities of
Bali, Mbai, Kingomen and Fundong) in the North West Region of Cameroon (Figure
1.2).
Figure 1.2: Location of the study area

Cameroon is a country in Central Africa roughly shaped like a triangle and
wedged in the Gulf of Guinea. It has 10 administrative units also known as regions, of
which two are English speaking (South West and North West where this study is
conducted), the remaining being French-speaking (Minang, Bressers, Skutsch &
McCall, 2007; Brocklesby & Fisher, 2003). The Republic of Cameroon extends
across latitude eleven degrees in the North of the hemisphere. This represents
approximately 1,700 km from South to North, and so sustains a microcosm of the
equatorial and the tropical geographic spaces where the basic human needs are varied

16

(Fonjong et al., 2004). The population of Cameroon, today estimated at 18.4 million
(latest census, 2005), has in every regions sought to fully utilize their indigenous
knowledge and practices to manage, among others, their water schemes, micro-
hydropower systems and forest conservation projects (Tuyet Hanh, Hill, Kay & Tran,
2009; Mertens & Lambin, 1997). Some of the examples of community-managed
schemes such as those of Bali, Mbai, Kingomen and Fundont that constitute the focus
of the study are drawn from the North West Region of Cameroon.
This region serves as a good case given its high-incidence implementation
level of community-driven projects (Kometa & Ebot, 2010; Alasah, 2011). The North
West Region over the past few years has experienced dwindling sustainability in
community-driven projects in spite of a long history of communal efforts towards
development through community-based associations such as village development
associations and common initiative groups (Njoh, 2011; Fonchingong, 2005). The
suitability of the choice of the North West Region is also because the researcher
comes from the area and can conveniently access local communities‟ documentaries
or organize focus group discussions and in-depth interviews with the key rural
community project stakeholders.
Characteristically, Cameroon is a mountainous and a typical example of
natural diversity. For instance, the North West Region of Cameroon has varied relief
ranging from valleys, plains, forest, grassland, etc. This region has a very huge
hydrological network of rivers, lakes, falls and springs upon which the local
communities rely for either hydropower generation or pipe-borne water or both
(Nyambod, 2010; Abbot, Thomas, Gardner, Neba & Khen, 2001). Agricultural
activity is the mainstay of the population in this region because a large part of the
population is rural (Ngwa & Fonjong, 2002; Fonjong et al., 2004). As a result of

17

socio-economic related challenges population mobility remains very high compared
to other regions of the country. This high mobility has been attributed to limited job
opportunities and absence of recreational and basic social amenities such as safe
drinking potable water, health clinics, firms, motorable roads and electricity supply in
the rural communities which host a goodportion of the population is an issue
(Fonchingong, 2009; Akei, 2015).
1.7: Description of the Four Selected Community Project Cases
The North West Region where this research is conducted comprises seven
administrative units (known as divisions). In this region, there are many projects
realized by either governmental or non-governmental, private individuals or group
efforts but which are currently implemented by local communities. Some of such
community-driven projects include safe drinking water supplies, small hydro-electric
power schemes, forest conservation schemes, repairing and maintaining roads,
bridges, irrigation dams, community health posts and school establishment services
(Sally et al., 2013; Njoh, 2011). For the purpose of this study, four community-driven
project case studies were selected for investigation, namely: Bali community-
managed water project, Mbai community-managed forest conservation project,
Kingomen community-managed hydro-electricity project, and Fujua-Fundong-
Mentang-Ngwainkuma community-managed water project.
The rationale for the choice of the above-named is that they are among those
projects managed by local communities in the NWRC that exhibit low sustainability.
During the pilot study in August 2014, these projects were identified to be those
facing serious sustainability challenges in the region. The choice is supported by easy
and reliable access to the project sites and knowledgeable individuals for data

18

collection. The fact that the researcher was born and bred in this region makes him
deem it necessary, with a personal passion, to understand why community-managed
projects have had such limited sustainability levels, so that a framework can be
designed to enhance their sustainability. Thus the selection of the following four
community-driven projects
1.7.1 Bali Community-Managed Water Supply Case
The objective of this project is to reduce rampant water-borne diseases to the
minimum by supplying the entire community of Bali with affordable, reliable and safe
drinking water. The Bali community water project is located Bali Sub-division, which
forms part of Mezam Division in the North West Region of Cameroon (Figure 1.3).
Figure 1.3: The Bali Community-managed Water network coverage of NWRC

Source: Adapted from BACOWAS water network coverage in Bali, 2008 and field work, 2015

19

It is situated some 20km from Bamenda town, the regional headquarters of the
North West Region. The sub-division lies approximately between longitudes 9°51′
and 10°02′ East of the Greenwich Meridian and between latitudes 5°50′ and 5°57′
North of the Equator (Nyambod, 2010; Fonjong et al., 2004; Abbot et al., 2001). Bali
Sub-division is made up of 17 villages with a total surface area of 277.77 km².
Following the layout of the sub-division, it is bounded in the North East by Nchomba,
Nsongwa, Mbatu and Mankon, all in Bamenda Central Sub-division, and in the East
by Pinyin, Baforchu and Baba II in Santa Sub-division. In the West, the sub-division
is bounded by Njaetu, Osum, Ngemuwah, Guzang and Ashong in Batibo Sub-division
and in the North West by Nghyenbu and Bome in Mbengwi Central Sub-division in
Momo Division (Pouomogne, Brummett & Gatchouko, 2010; Tanga et al., 2010;
AchoChi, 1998).
This Sub-division is inhabited by the Bali Nyonga clan and is a local council
area (Nteh, 2011). Bali Sub-division had pipe-borne water in 1957 and this water was
installed by German engineers from the indemnities paid to Bali by the Widikum
people after a fatal war. This social project was self-reliant although it was later taken
over by SNEC (Fonchingong, 2003). In 1994, the population of Bali Sub-division
unanimously agreed to take over the management of their water project from SNEC
(the central government water management body). The people of Bali have been
making commendable efforts to supply water in the community. They believe in self-
reliant effort and they have used an electric pumping system at Gola, and have
complemented it with a gravity system that has as its source the Hills of Koblap. They
have also tapped water from Njap through a gravity system of pipes (Kometa &
Ebbot, 2010; Minang, McCall & Bressers, 2007).

20

With an approximate population of 85,058 inhabitants (latest monographic,
2005) and a surface area of 277.77km², Bali Sub-division has a population density of
306.2 inhabitants/km². Pipe-borne water refers to raw water that has been harvested
from springs, streams and river sources, and treated using both physical and chemical
means (chlorine) to render it safe from all impurities. This community-managed pipe-
borne water scheme has been very important to the economy of the sub-division as the
inhabitants use the water for domestic purposes, moulding bricks, irrigation, artisanal
industries‟ salon work, restaurants, and car and motorbike washes (Munogu, 2007).
Key stakeholders involved in this project include the Bali community development
association (BACODA), the village traditional council, Bali municipal council and the
end-users (the Bali grassroots population).
In spite of Bali‟s natural basin it also has Highlands with peaks such as Njap
(1,467m), Koppin (1,388m) and Fukang (1585m) in the northeast and southeast
regions of the sub-division (Fogwe, 2006). The land slopes gently from these peaks
towards the western region and has some highlands such as Ntanko’o (1,348m)
(Kometa & Ebbot, 2010). In addition, there is broad river valleys such as Naka,
Mantum and Mbufung generally orientated in a northeast-southwest direction
following the topographical structure of the area. As Figure 1.3 above depicts, the
topographic nature negatively affects the sustainability of Bali community-managed
water delivery as those living in highland settlements are seldom supplied with water,
especially during the dry season. The influence of relief on sustainable water supply
services in the Bali community will be explained as the study progresses.

21

1.7.2: Mbai Community Forest Conservation Case Study
The Mbai community forest is part of Kilum-Ijim Forest which is the largest
remaining patch of montane forest in the Bamenda highlands of Cameroon (Figure
1.4). The objective of this forest project is to conserve the endemic and endangered
biodiversity in Mbai by protecting their habitat. Over 20,000 inhabitants of the
fondom of Oku depend on the forest for their local livelihoods. This area receives
about 1,894mm of rainfall in August and 22.78˚C of average temperature (North West
regional delegation for agriculture, 2008). Mbai is characterised by granitic soils on
hill tops and laterites in valleys. Found in the Grassfields, it has a vegetation type that
ranges from savannah on hill tops to shrubs and then raphia palm and prunus Africana
species. The resources present in the forest include fibres, fuel wood, wild honey,
medicinal plants etc. (Enchaw, 2009; Thomas, Anders & Penn, 2000). Apart from a
watershed this forest is also the centre for endemism.
Due to pressure mounted by the surrounding communities and the uniqueness
of the Mbai Forest being of conservation priority, the local communities feel that it is
important to use this forest rationally while conserving its biodiversity for future
generations (Tata, 2010; Forboseh, Keming, Toh & Wultof, 2003). To make this
possible the Mbai community has been carrying out a number of activities to achieve
this. For instance, the Mbai community maintains their forest boundary by constantly
carrying out forest boundary line walks to check for any evidential encroachment by
local farmers who are often punished by the village councils for replacing the
boundary markers (Agarwal, 2009). When there is forest fire the communities are
mobilized by the manjong leaders who are also the brains behind the clearing of
external forest boundaries. Meanwhile, fire prevention campaigns are being carried
out by community members in public places, markets, churches, and schools. Forest

22

patrols and forest walks are constantly conducted by members of the community to
identify those activities that are damaging to the forest and defaulters are sanctioned.
Figure 1.4: The Mbai community-managed forest project in the North West Region
of Cameroon

Prior to managing Mbai community for the benefit of the entire Mbai
population, this community carried out a qualitative reconnaissance of the forest and
divided their forest into a series of compartments. They went a long way towards
drawing up their management plan which was submitted to the forestry administration
for approval, since the Mbai community had been largely entrusted with a community
forest to manage and derive benefits from it (Maisels, Keming, Kemei & Toh, 2001).
It should be noted that before the promulgation of the new forest law in 1999 which
increased the level of participation by communities in using and managing their forest
resources, Mbai community and the traditional authority of Oku had a long history of
managing their forest sustainably. However, their efforts could not withstand the

23

existing pressures from farmers who cleared large portions of the forest for
Agricultural land (Forboseh & Ikfuingei, 2001; Pagdee, Kim & Daugherty, 2006).
The community has the customary and logging rights in the event of managing
and using their community forest. These rights allow the local people to carry out the
following activities: to collect materials from the forest for medicinal use; to collect
dry wood for domestic use only; to practise both traditional and modern beekeeping;
and to collect mature Alpine bamboo for traditional building and other allied uses
(Enchaw, 2009). Despite the existence of well established customary rules for Mbai
community forest management, recent pressure from local farmers who cleared large
areas of the forest for cropping and graziers who frequently set parts of the forest on
fire undermine its sustainability, as Figure 1.4 depicts. Key stakeholders in this
project include the Mbai forest management institutions (FMOs, DFMI), the
traditional council, Mbai farmer common initiative groups and the grassroots
population (Tatah, 2010; Abbot et al., 2001).
1.7.3: Kingomen Hydro-Electricity Case Study
The purpose is to foster the socio-economic livelihood of the people of Kingomen by
extending electricity to remote and poor parts of the village community. Kingomen is
a small village in Kumbo, the headquarters of Bui Division in the North West Region
of Cameroon. It is found some 105km from Bamenda town, the regional headquarters,
and is at an altitude of 2,265m above sea level (Njoh, 2009; Paish, 2002). It is situated
between latitudes 6˚10’N and 6˚24’N of the equator and longitude 10˚35′ East of the
Greenwich Meridian. Kingomen is located in the Kumbo Central Sub-division of Bui
Division and is one of the village communities that make up the Kumbo Central Sub-
division. It is in the outskirts of Kumbo town, precisely in the south east. The village

24

community of Kingomen is bordered by Bamdzeng in the north, Mbuluv in the south,
Mbotong in the west and Nkuv in the East (Figure 1.5). Kingomen village has a
relatively hilly relief and the altitude ranges from 1,132m to 2,265m above sea level
(Tatah, 2010; Fogwe, 2006; Page, 2003).
Figure 1.5: Kingomen Hydro-Electric Supply Project

Source: Adapted from the monographic study map of Kumbo urban council, 2005
With a population of 1,809 inhabitants (latest population census, 2005) and a
surface area of 30km², this area has a density of 60 inhabitants per square kilometre.
About 95% of its population is involved in agriculture, 4% in small scale trading and
a meagre 1% in traditional poultry (Ngala, 2012). The majority of its population lives
below poverty level with income per person per day which is below the $1 limit of
poverty (Njoh, 2009). Kingomen local hydro-electricity generation is one of the ways
the inhabitants of the deprived community are trying to improve upon their livelihood
activities. As shown in Figure 1.5 above, the Kingomen hydro-electric supply project
is considered sustainable because 2004 marked the year the project was realized and
at this time only the project initiator and some community members including
labourers of the scheme were connected with electricity. By 2006 some twenty

25

households were already consuming hydro-electricity from the scheme. The number
of consumers today stands at thirty-two households (field work, 2015). At present six
out of the ten neighbourhoods that make up Kingomen are actually supplied with
hydro-electricity. The sustainability of this scheme in terms of maintenance, extension
and rehabilitation has been attributed to cultural adherence, as will be explained as the
study progresses. The incorporation of the indigenous socio-cultural practices into the
community-managed hydro-electricity project enabled the project end-users to
develop a real sense of ownership and participation in the project.
1.7.4: Fujua-Fundong-Mentang-Ngwainkuma Community Water Supply Case
Study
The objective of this water project is to reduce long distance trekking to fetch dirty
water for drinking and to minimise the amount of water-borne diseases in the village
communities of Fujua, Fundong, Mentang and Ngwainkuma within Fundong Sub-
division. Fundong sub-division is 38 kilometres away from the regional headquarters
of the North West Region of Cameroon (Figure 1.6). This Sub-division is located
between longitude 10°31′ and 10°41′ east of the Greenwich Meridian and latitude 6°7′
and 6°24′ north of the Equator. It has a population of about 47,897 people and a
surface area of 537 km², giving a population density of 89.2 persons per square
kilometre (latest population census, 2005). Fundong Sub-division is the headquarters
of Boyo Division and it is bounded in the south by NjiniKom and Belo Sub-divisions,
to the north by Fungom Sub-division, to the east by Noni Sub-division, to the west by
Menchum Valley Sub-division, to the northeast by Bum Sub-division and to the
southwest by Bufut Sub-division.
This Sub-division experiences a tropical Sudan climate which is greatly
influenced by altitude. It is characterized by two seasons, a long rainy season of about

26

eight months (March-November) and a short dry season of about four months
(November-February). Rainfall ranges between 1,600mm and 2,200mm and
temperatures range between 13°C and 28°C (Lambi, 2008; Ngwa, 2005). The rainiest
month is August with rainfall of about 2,600mm, whereas February is the warmest
month with temperatures rising to about 28°C. Fundong Sub-division, like most of the
Bamenda Grassfield, shows little existence of natural vegetation cover. This
vegetation is highly influenced by the edaphic and climatic conditions of the region.
With the interplay of altitude and climate, grassland has become the dominant
vegetation cover of the region. The area is equally dominated by man-made
vegetation consisting of kola nuts, pear, mango, coffee, orange trees and eucalyptus
trees. Research has revealed that eucalyptus reduce water availability through the
transpiration process (Enchaw, 2009; Fogwe, 2006).
Figure 1.6: Fujua-Ngwainkuma-Fundong-Mentang Community Water Network
Coverage in NWRC

Source: Adapted from the 1992 administrative map of Boyo Division in collaboration with the Fujua,
Ngwainkuma, Fundong and Mentang Community Water Committee, 2014

27

The Fujua-Fundong-Mentang community water project, realized in 2005 with
huge financial and technical support from Plan International, today serves about
21,000 inhabitants. This water scheme serves the villages of Fujua, Ngwainkuma,
Mentang and Fundong village, which are about 1,500m above sea level. Water is
supplied by gravity from three spring catchments and attached inspection chambers
(1,600m above sea level) located in Fujua village. As can be seen in Figure 1.6 above,
the water scheme is sustainable because it has been effectively extended to three
neighbourhoods, namely Baijong, Ngwainkuma and Fujua. For instance, in 2005
when this project was handed over fully to the community, it consisted of three spring
catchments with attached inspection chambers, one storage tank in Fundong village,
thirteen standpipes and four valve chambers to control water pressure. By the time of
the study, the number of public standpipes was 76, although only 48 were effectively
functional, while the catchment chambers remain fixed (personal observation, 2015).
The extension of pipe-borne water into new neighbourhoods depicts the scheme as a
sustainable project. However, the emerging human and physical constraints associated
with the increasing length of the dry season and human encroachments are seriously
undermining the sustainability of the Fujua-Fundong-Mentang-Ngwainkuma water
supply scheme (Njoh, 2011; Fogwe, 2006).
1.8: Sustainability versus unsustainability
The main similarities in the chosen project case studies are that these projects are all
community-driven, implying that their ongoing technical repairs and funding are been
taken care of by the local communities which sometimes receive little assistance from
external agencies. The main purpose of community-managed projects is to improve
the wellbeing of the projects‟ end-users through greater and more reliable access to
basic social amenities. However, these projects are different in that each is found in a

28

separate geographic location within the North West Region. In the context of this
study, the Mbai forest conservation and Bali water project are treated as projects with
sub-optimal sustainability whereas the Fundong water and Kingomen hydro-
electricity projects are treated as sustainable projects (or used as control projects)
because they are quite sustainable in terms of effectively meeting their goals.
Sustainability in this study is conceptualized from the dimensions of
durability, cost-recovery and deliverables in order to clearly articulate the concept
within the context of this study and to specifically pin it down to projects that are
community-managed. The conceptualization of sustainability is presented in Figure
1.7 below.
Figure 1.7: Conceptualizing Sustainability within this Study

Source: Inspired by the prism of De Carvalho et al. (2009)

As shown in Figure 1.7, sustainability within the context of this study means
the ability to maintain projects in a condition which ensures a reliable and adequate
service delivery; the benefits of the project to continue to be realized by the targeted
users over a prolonged period of time; and the service delivery process to demonstrate
Sustainability
Deliverables
Cost-recovery
Durability
Project’s ability to meet its
purpose with minimal long- term
external support

Willingness of end-users to pay
for the operation and
maintenance costs of projects
The ability of the flow of project-
related benefits or goals to
continue over a long period of
time
Concept Variables Measurable indicators

29

a cost-effective use of resources that can be replicated (Kumasi et al., 2010); whereas
the reverse is true for unsustainability.
1.9: Research Contribution
The fundamental objective of community-managed projects is to ameliorate the socio-
economic livelihoods of the people in remote and deprived areas. Studies have
revealed that projects controlled by local communities have a greater potential to
target marginalized and vulnerable people in communities and can also help to build
grassroots capabilities for ongoing community project upkeeping and for bringing
closer to the grassroots people some basic wellbeing projects. For instance, existing
literature on community management of basic wellbeing project acknowledges that it
gives grassroots people the opportunity to test their potentials by not just monitoring
breakdowns but could determine how and when to carry out repair works on their
projects, activities that the grassroots can effectively execute rather than the
government agents (Sally et al., 2013; Njoh, 2011; Harvey and Reed, 2007;
Rondinelli, 1991).
This objective is far from being attained, and despite much effort made, the
ongoing implementation of community-managed projects in the developing world
particularly in the North West Region is still heavily riddled with constraints that cut
across socio-cultural, management and environmental issues (Akie, 2015; Mbih et al.,
2014; Kometa and Ebot, 2010; Fonjong et al., 2004). A number of studies have
exclusively dwelled on institutional strengthening, capacity building, participatory
planning, technical support, financial assistance and inter-community partnerships as
prerequisites for the sustainability of projects managed by local communities (Sally et

30

al., 2013; Lundqvist, Rautanen & White, 2013; Folifac & Gaskin, 2011; Harvey and
Reed, 2007; Fonchingong, 2006).
Yet the sustainability of projects that are community-managed is far from
being attained, despite the efforts made and the widespread application of the
community management model as a strategy to guarantee the sustainability of
community projects. Efforts are being made on a constant basis in the communities
with the aim of managing community projects better, but empirical studies have rarely
been carried out in the North West Region of Cameroon to identify factors that have
led to the sub-optimal sustainability of community-managed projects after the
departure of a donor support agency. Therefore, inductively seeking to understand
why the sustainability of community-managed projects has been sub-optimal in the
North West Region of Cameroon enables this study to theoretically contribute to the
existing literature on the sustainable management of community projects. For
instance, this study explored four project cases and empirical data were gathered to
understand the extent to which the sub-optimality of community-managed projects is
riddled by socio-cultural issues, community management deficiencies and
environmental constraints in the region.
This study has actually analysed the shortcomings associated with the
community management strategy adopted in the North West Region of Cameroon
(NWRC) based on the perceptions and attitudes of a patrilineal community (Mbai,
Bali and Kingomen sites) and a matrilineal community (Fujua-Fundong site) towards
them and the analyses obtained have been presented in the form of results. It is hoped
that the results will provide the basis for designing an appropriate legal framework
and a sustainability policy for the region that not only promote the incorporation of
socio-cultural aspects of the grassroots into community management processes, but

31

also promote grassroots‟ governance and environmentally friendly practices. The
results also provide a basis for setting up site-specific people-centred paradigms for in
situ sustainable community project management in the NWRC and elsewhere in the
country. With such a model for in-situ management, the community project
beneficiaries will develop a sense of ownership and participation in their projects and
this may lead to optimal sustainability.
1.10: Operational Definition of Key Words
A number of variables have been identified within the research objectives, and their
usage cuts across a wide range of domains in management, business and social
sciences, so that it becomes necessary to define clearly the context in which they are
used in this study. In this case, it will become easier to understand and articulate them
within the context of the study.
1.10.1 Community
For the purpose of this study, we look at a community as a group of people sharing a
given geographic area, either a quarter or a village, who work together to improve
living conditions in their locality or community. This definition is adapted from the
definition of Bell and Newby (1972) who defined community as a group of people
who interact with one another and have common values within a shared geographical
location on either local, regional, national or global scales.
1.10.2 Community Management
Community management in this study entails the process whereby ownership and
responsibility for sustaining community-based initiatives is being taken care of by the
project beneficiary community, usually through collective efforts. It involves the

32

process of operating local projects to meet the basic needs of community members,
collecting revenue for the maintenance of those projects, administration and all of the
day-to-day activities of the project (Harvey and Reed, 2007; Njoh, 2011).
1.10.3: Project
According to Keeling (2000) referring to the Project Management Institute (PMI), „a
project refers to any temporary endeavour undertaken to create a unique product or
service, which usually has a start and an end date‟. In the context of this study,
community projects refer to those local development activities in the areas of
agriculture, rural infrastructure development, education, health care and cooperative
activities. Typical examples of such basic schemes in the NWRC include micro
drinking water supply, small scale hydro-electric power supply, forest conservation,
vaccination and health post, community school, parent-teacher scheme, dam and
irrigation schemes that are aimed at improving the livelihood of people in deprived
rural communities (Fonjong et al., 2004; Ngwa, 2005).
1.10.4: Community-based stakeholders
In this study, they are those community-based organizations or institutions involved
directly or indirectly in the management of community projects such as locally-based
organizations, user groups, project maintenance committees, elite groups, local non-
governmental organizations, and traditional and municipal councils (Fonchingong,
2009).
1.10.5: Sustainability
For the purpose of this study, sustainability implies the ability to maintain a condition
which ensures the reliable and adequate functioning of a community-driven project
whereby the benefits of the project continue to be realized by the project end-users

33

over a prolonged period of time. Therefore, the ability of a project to meet the
objective for which it was created implies strong sustainability (Kumasi, Obiri-Danso,
& Ephraim, 2010; Hamukwala et al., 2008; Katz & Sara, 1997).
1.10.6: North West Region
An administrative unit headed by a governor appointed by the president of the
Republic of Cameroon. It comprises 38 sub-divisions, 43 municipal councils and a
population of about 2.8 million people (Bambuye, 2011).
1.11: Research Structure
This thesis comprises seven chapters (Figure 1.8). It starts with the introductory
chapter which introduces the study by grounding the research background, research
problem and its significance, geographic background of the study area, research
rationale, aim, objectives, questions and the definition of key words. The introduction
is followed by a review of the literature related to: (1) theoretical underpinnings of
sustainable community management, and (2) challenges affecting the sustainability of
community-managed projects. Based on the review of literature related to the
sustainable management of community-managed projects, the conceptual framework
and the theoretical underpinnings are presented. In this chapter, the associated
concepts, theories and models have been thoroughly considered in order to give them
meaning within the context of this research. This is followed by a description of the
research design and methodology and the type of data collected based on the chosen
methodological protocol.
The chapter on the presentation of findings begins with data treatment and
analysis related to the Bali, Mbai, Fundong and Kingomen community-managed

34

projects selected for the purpose of this study. The sixth chapter leads to discussions
of the findings with particular focus on how the problems arose, highlighting the
physical and human challenges arising from the rural context affecting the sustainable
management of community projects. The importance of ensuring ongoing technical
support in the implementation of community-managed projects is also discussed in
this section. The chapter includes a discussion of the inadequacies of the standard
community model in the rural context and how those management deficiencies
combined with the physical challenges of the projects result in sustainability
problems. The next chapter which presents the recommendation dwells on the
analysis and discussion of findings so far undertaken and proposes ways to improve
the sustainability of community-managed projects. The last chapter combines the
summary and conclusion of this study and is based on the premise that an
understanding of community beneficiaries‟ priorities enhances the potential of CMPs
to be effectively implemented.

35

Figure 1.8: Structure of the Thesis

Source: Generated from the review of literature and fieldwork, 2015
Conclusion
This study seeks to gain insights into the underlying causes of the dwindling
sustainability of community-managed projects. The sustainable management of
community-driven projects is conceptualized using measurable variables such as cost-
recovery, deliverables and quality of service. These adopted variables to
conceptualize sustainability are described in Chapter 3. The overall purpose of this
chapter has been to uncover the underlying factors limiting the sustainability of
community-managed projects in the NWR of Cameroon. Despite the rapidly growing

36

number of community-managed projects in sub-Saharan Africa including Cameroon,
on the premise that such projects have the potentials to incorporate community
stakeholders‟ views into a common platform of being, thinking and acting (Sally et
al., 2013; Komovis et al., 2009), the long-term implementation of these projects is
riddled by challenges to the community management practices (Yu & Leung, 2015;
Che, Zhao, Yang, Li & Shi, 2014; Njoh, 2011). These issues provide the critical
essence of this study. The introductory chapter is followed by Chapter 2, which
provides a critical review of the literature on the sustainable community management
of projects and challenges facing community-managed projects. It concludes by
explaining how best to target investments in community-managed projects in order to
maximise the utility that the grassroots derive from them, which is fundamental to a
well-implemented community-managed project.

37

Chapter 2: Literature Review
2.1: The Political economy of Cameroon
A critical question in development economics is what kind of reforms the developing
countries should undertake to enhance basic service delivery and thereby ameliorate
the standards of living for their rural poor and vulnerable people. Decentralization of
powers from central government to local councils is one of the key development
reforms with widespread implications on wellbeing amelioration (Edoun, 2015;
Andrew & Schroeder, 2003). The main argument often put forward to support
decentralization policy is that it can improve public service provision by better
matching financial, human and material resources with grassroots needs (Blume &
Voigt, 2011). Within the context of Cameroon, the limited availability of basic human
amenities such as reliable pipe-borne water supply, health care, primary education,
electricity supply and road infrastructure servicing in the local areas have most often
been levied on weak and inbalanced governmental development policies that seem to
focus development in urban areas to the detriment of the rural or village areas (Njoh,
2011; Fonchingong, 2009; Fonjong et al., 2004).
It was not until the 1990s that the government of Cameroon realised that its
centralised system of government had been impacting negatively on its rural
development (Njoh, 2010; Oyono, 2004). This system made the country remain
largely rural with citizens contributing minimally to the process of growth despite the
ingenuity of rural communities such as those in the North West Region in terms of
self-reliant development initiatives. Law No. 96/06 of 18 January 1996 on
decentralization came as a major policy framework and attested to a growing political
will towards the reversal of the situation (Crow, 2013; Ngwa, 2005). As a result, this

38

policy reform triggered many governmental and non-governmental agencies to launch
various developmental projects at national and local community levels to improve the
socio-economic wellbeing of the rural poor people for the sustainable fulfilment of
basic needs.
Unfortunately, the devolution of power to local councils to enjoy
administrative and financial autonomy in the management of local interests has not
salvaged the situation (World Bank, 2011). The local councils, which deal directly
with local communities, were inadequately prepared for decentralization and as a
result, the sustainability of community development projects remains low despite
efforts employed by the international, national and local development agents (Henry,
2012; Fonchingong & Ngwa, 2006). Efforts for ensuring sustainability of community
projects are fading due to improper selection of the management model for the
sustainable management of projects in rural areas. For instance, the demand-driven
approach, community participation and community management of services delivery
are well known and widely applied in local development in Cameroon (Crow, 2013;
Sally et al., 2013, Oyono, 2004). Field data and information collected through studies
such as this one on the Sustainability of Community-Managed Projects in the North
West Region of Cameroon are absolutely needed to improve the decentralization
process and rural development. Such information will be useful to the performance of
the North-West Rural Development Process whose aim is to provide support to the
most disadvantaged rural communities.
Many studies have revealed that community-managed projects (CMPs) are
vital for improving grassroots wellbeing particularly in remote and deprived areas
(Leventon et al., 2014; Henness, Ball & Moncheski, 2013; Sally et al., 2013; Rawlani
& Sovacool, 2011; Vidal & Keating, 2004; McCommon, Warner & Yohalem, 1990).

39

As a result, projects managed by the local communities have become immensely
popular among national and international policy makers and donors on the assumption
that involvement of grassroots members can reduce the proportion of people without
sustainable access to basic social amenities particularly in the developing countries
(Newton et al., 2015; Duvenage, Taplin & Stringer, 2012; Folifac & Gaskin, 2011;
Harvey and Reed, 2007).
The strengths and weaknesses of this assumption have been X-rayed by many
scholars in existing literature, which will be reviewed in this chapter. In fact,
Community-managed projects (CMPs) are put in place either by the government, non-
governmental organisations or community-based associations and they expect the
projects to be driven locally by members of the communities who are neither highly
trained nor professional project managers (Sally et al., 2013; Fonjong et al., 2005).
These authors were interested in the various categories of project providers who
wanted to ameliorate the living conditions of local communities by providing them
with community driven projects and how local community members have limited
professional capabilities to run the projects. They were, however, less interested in the
fact that many of these project providers focus only on attaining the objective of
making the project available to the local community without being concerned about
its long-term sustainability, an aspect which is very fundamental in our study.
Working on factors which riddle the sustainable implementation of
community-run projects (Marks et al., 2014; Dash et al., 2011; Montgomery et al.,
2009; Fonjong et al., 2004) revealed several deficiencies in the management practices
of community projects. They include lack of incentives, weak local institutions,
insufficiently trained personnel, lack of collaborative planning, weak methods of
recovering costs, and inadequate legal and organisational arrangements. These

40

deficiencies testify to the fact that poor implementation of community projects is a
consequence of poor management (Leventon et al., 2014; Simmons, Reynolds &
Swinburn, 2011; Komives et al., 2006; Rosa, Kandel & Dimas, 2004). Fieldwork
threw more light on this assertion. When the sustainability of community-managed
projects is not planned at the level of project conception, community members will
lack the management capabilities that are critical in the long-term survival of
community projects (Njoh, 2011; Whittington et al., 2009).
Other factors that undermine the sustainability of CMPs, as pointed out by
several scholars; include income levels of project beneficiaries, willingness of the
users to allocate time, funds and labour for projects; sense of community ownership;
political elite; and grassroots participation. At the income level, Kenfack et al. (2009)
and Harvey (2007) argued that the community management structure and committee
money collection mechanism have the potential to affect the ongoing functioning of
community-managed projects in sub-Saharan African countries. When income levels
among community members is low, it becomes difficult for them to contribute to
running costs and at times community members are bound to pay in kind, thereby
complicating the task in rural areas of developing countries where farm-to-market
roads are not available or are impracticable. This assertion was investigated and
confirmed by fieldwork in Kingomen and Bali.
Regarding the influence of the effects of a real sense of community ownership
on the functionality of community-driven projects, Njoh (2011) investigated two
water supply projects in Cameroon and concluded that many project providers create
situations of us-versus-them, making community members lose a sense of ownership
of projects they are expected to run. Avenues for creating the situation of us-versus-
them are at times made available by the political elite and have a direct impact on the

41

sustainability of CMPs in Africa (Sally et al., 2013; John, 2011). These authors were
very interested in the negative impact of local communities losing a sense of
ownership of projects they run. They were less interested in the neglect of cultural
factors that lead to this loss in the sense of ownership, which is an integral part of our
study.
The dwindling sustainability of community-managed projects (CMPs) in sub-
Saharan countries including Cameroon is not only influenced by community
management deficiencies but it is equally affected by factors related to socio-cultural
considerations and environmental constraints associated with relief and climate
variability and change (Schweitzer & Mihelcic, 2011; Yang et al., 2009; Opare,
2007). Chapter 2 therefore focuses on the factors affecting the sustainability of CMPs
with special emphasis on the factors behind their dwindling ongoing implementation,
since the aim of this research is to understand why CMPs have had such limited
sustainability in the NWRC so that a framework can be developed to guarantee their
sustainability. Hence, the chapter is firstly providing a review of literature on the
factors behind the dwindling sustainability of community-managed projects.
Specifically, the extent to which socio-cultural aspects, community management
deficiencies (technical, governance and funding challenges) and environmental
constraints associated with relief, climate variability and change affect the sustainable
implementation of CMPs in the North West Region of Cameroon are the core focus of
this study. The layout of this chapter is presented in Figure 2.1 below.

42

Figure 2.1: Structure of Chapter 2

Source: Author‟s conception, 2015
As shown in Figure 2.1 above, this chapter comprises five main sections. The
introduction focuses on major pronouncements associated with the literature on the
management of community projects and an outline of the main articulations of the
chapter. The first section covers literature that is related to the extent to which
knowledge of the cultural background of project end-users is fundamental to the
sustainability of community-managed projects. The second section dwells on
3
Introduction
Scope of the chapter
Chapter layout
Challenges behind the sustainability of CMPs
Socio-cultural and anthropological issues
Concept of
community-
managed
projects and
sustainability
Technical challenges
Community management theory
Community management models
Stakeholder concept
Conceptual and theoretical framework
Appropriate institutional support framework
Community-managed governance model
Theory of Sustainability

2
1
Governance challenges
Funding challenges
Environmental challenges
Socio-cultural theories
Conceptual framework for this study

Concept of community

43

literature associated with the impact of human capabilities at grassroots level on the
sustainability of projects that are community-managed. The third section discusses the
relationship existing between governance in community-managed projects,
confidence in physical persons and how these affect the sustainability of projects that
are community-driven. The fourth section handles literature related to common
funding issues associated with income levels, willingness of the users to allocate
adequate funds to project functioning, and how they affect the sustainability of
projects that are community-managed. The fifth section reviews literature related to
environmental constraints associated with topography, climate variability and change
and how these constraints are responsible for the dwindling sustainability of
community-managed projects.
2.2: Socio-Cultural Issues in CMPs
Considering that people‟s culture conditions the way they think and go about fulfilling
their needs, the way they use resources around them, and the way they interact with
one another (Kamoche et al., 2015; Jabareen & Carmon, 2010), socio-cultural factors
such as belief systems, values and willingness of project users to allocate time and
labour are important and vital sustainability issues to maintain the functioning of
locally-driven projects (Moller et al., 2012; Opare, 2011; Dixon, 2005). Neglecting
the importance of socio-cultural institutions in the lives of community-managed
projects is erroneous, as confirmed in Bali and Kingomen.
Attesting to the importance of these values, Olayide et al. (2013), while
assessing the sustainable management of community-based biodiversity in Ghana,
concluded that management founded on positive community socio-cultural fabrics not
only ameliorates the livelihoods of the rural population but equally increases their

44

resilience in facing sustainability challenges as the people socially bond and become
empowered to confront future threats to their local schemes. Similarly, Rantala,
Hujala & Kurttila (2012) and Zuo et al. (2014) explicitly stated that in many
developing countries, forests and water resources serve an invaluable socio-cultural
use. They argued that sacred groves, waterfalls, plants and animals play a significant
role in religious, spiritual and healing ceremonies in traditional rural communities.
While these authors laid emphasis on the biocultural values of those resources
to local communities, and a species such as the Dracaena arborea tree is traditionally
considered a symbol of peace and its conservation is guaranteed by traditional means,
they were less interested in the fact that many project providers seldom integrate these
biocultural values and local knowledge in the entire frame of biodiversity
conservation at grassroots level. This aspect of neglect of the role local knowledge of
resource management plays in conservation at grassroots level was addressed by
Westerman & Gardner (2013). These authors stressed the fact that local knowledge of
resource management and the efforts put in to conserve biological diversity through
indigenous knowledge are usually ignored by some project providers. The assertion of
these authors was verified and affirmed in Mbai Commnity Forest area during
fieldwork.
In a similar perspective, Ormsby & Bhagwat (2010) and Ngwa & Fonjong
(2002) opined that in many developing countries, portions of forests, waterfalls for
hydro-electricity and catchments for pipe-borne water supply are usually places
hosting some important spirits or serving as abodes of the gods of the particular
communities. Such places are often declared as sacred and become places where
certain rites are performed by their custodians (Ormsby & Bhagwat, 2010; Wadley &
Colfer, 2004). The sacred nature of the portions of forests and waterfalls can equally

45

be associated with the fact that they host the tombs of the ancestors of the
communities or are reserved for cremation (Rutte, 2011; Walton, 2008).
These authors emphasized the sacred nature of abodes of the gods of local
communities and totemic sites therein, but placed little weight on the fact that project
providers make limited contacts with traditional custodians to determine the impact of
a project on the cultural sites, practices and beliefs of end-users, which are
fundamental in our study. When community forestry, such as in Mbai, denies local
communities access to these sacred sites where they commune with the deities who
intercede on behalf of the living, it becomes a serious blow, not only to their ancestral
tradition, but to their survival (Bhagwat, Nogué & Willis, 2013; Ormsby, 2011;
Lozano et al., 2011 and Ngwa, 2002). This inadequate understanding and integration
of the anthropological and socio-cultural aspects of project end-users in the entire
frame of community-driven projects and the extent to which it undermines the
sustainability of local community schemes, was verified and confirmed in Bali and
Mbai during fieldwork.
Likewise, Fon Galega II (2006) and Fon Ngum III (2001) were of the view
that the waterfalls and forests in the North West Region of Cameroon have a cultural
value that cannot be swapped as they play host to Bannerman‟s Turaco bird that
supplies the local people with feathers for traditional recognition. In addition, Ngwa
and Fonjong (2005) ascertained that communities of individuals compete for survival
in whatever ecological environment they find themselves. So, base line resource
availability in quantity and quality over time become an issue at later stages whereby
individuals in the community struggle to use those resources for survival. At this
point, conflicts emerge over access, with emphasis on these specific resources and
their location in space (Bhagwat et al., 2011; Rutte, 2011). Similarly, Ayorinde (2011)

46

attributed land and resource use conflict as the main hindrance to the community
management of local initiatives in the southwestern region of Nigeria. This assertion
was verified and confirmed in the field as most of those using pipe-borne water for
small-scale irrigation in Bali and Fundong scramble over it during the dry season for
their crops to survive as well as for the forest to harvest wild fruits and medicinal
plants in Mbai.
2.2.1: Incentives in the Management of Community Projects
In the course of discussing incentives as one of the sustainability components for the
long-term functioning of water and sanitation supplies, Montgomery et al. (2009)
argued that effective community motivation encourages community members to
develop the willingness to pay for ongoing servicing of projects that are community-
managed. Sally et al. (2013) and Harvey & Reed (2007) shared the same view but
stressed that individuals and groups are seldom provided with incentived that will
encourage them to participate in or manage community schemes.
Using the case of water supply management in developing countries
particularly in sub-Saharan Africa, they noted that although most communities may
act to protect their own interests, they will do so effectively when they are properly
motivated to participate in activities that also promote the long-term functioning of
community projects. At grassroots level payment for services rendered to the
community is always marginal and incentives for them to keep rendering the services
are always almost absent, with the result that the performance of those expected to
supply technical services after the project providers have handed over the projects to
the community becomes too low. This low performance of technicians was affirmed
in Bali, Fundong, Kingkomen and Mbai study sites by fieldwork.

47

Similarly, Fonjong et al. (2005) pointed to the fact that incentives for co-
operative behaviour, however, must be strong enough to overcome the individual and
family costs of participation in projects. When people lack easy access to basic
facilities such as water, electricity supplies and forest resources in their communities
it poses not only a threat to their livelihoods, but it also severely constrains any
ongoing implementation of projects (Hopwood, Mellor & O‟Brien, 2005; Kumar,
2005). These authors were interested in the disincentive effects of inadequacies of
basic amenities on the sustainability of community-driven projects but placed little
emphasis on the factors which engender the inadequacies at grassroots level such as
poverty and policy which are important components of this study.
Besides, Anyang (2013) argued that the rapid population growth is likely to
trigger risks of social conflict, compelling grassroots communities to practise
rationing as a strategy to serve the population with water and power supplies. In the
absence of incentives, rationing has often been marred by corruption and nepotism as
confirmed by fieldwork in Bali and Kingomen. This practice often provoked anger
among the project beneficiaries as they frequently accuse the management committee
of preferential treatment in service delivery (Marks and Davis, 2012; John,
2011;Yazici, 2011). The view of the author was observed and confirmed in the field
particularly with the management of the Bali water project, as those living in highland
quarters of the community were always accusing those managing the scheme of unfair
service delivery. This seriously threatened community cohesion and sustainable
management of the water supply project.
A real sense of ownership and control of grassroots schemes have been
identified to be a strong incentive in the motivation of grassroots populations to fully
engage in their sustainable management. According to Njoh (2011) in a study on two

48

community self-help water supply projects in Mpundu and Bonadikombo, the South
West Region of Cameroon concluded that the Bonadikombo project succeeded
because the local residents had a real sense of ownership of the project, whereas the
Mpundu water project failed because of the lack of a sense of real or potential
ownership among the user communities. Similarly, Mandara et al. (2013) and
Rondinelli & Burpitt (2000) referring to a water supply project in Tanzanian noted
that the government‟s reluctance to fully transfer the ownership of the project to
grassroots committees as promised them by the Danish Aid donor agency made these
locals to feel that the project wasn‟t truly theirs.
The refusal to transfer ownership served as a disincentive as the community
ceded the scheme to the government although it could not monitor breakdowns and
make repairs. This scenario was actually confirmed by fieldwork in Mbai where
community members abandoned forest patrols, the monitoring of fire and
encroachment for farming to the forestry authorities in Kumbo, who could not
monitor the forest. In addition, the sustainable implementation of CMPs is threatened
by the fact that the management of community projects often relies on voluntary
inputs from community members, which people may make for a while but are
reluctant to make in the long term. This challenge is made more serious by the fact
that there are usually no long- term incentives for community members (Fonchingong,
2009; Harvey & Reed, 2007).
Conversely, in a study of water irrigation scheme in the Philippines (Labonne
& Chase, 2011) described the government‟s strategy of transferring ownership of the
scheme to community associations after the projects were created as a major incentive
for grassroots active involvement. In addition, Park et al. (2009) noted that when
ownership was handed to those local associations, they were given clear authority to

49

own and manage their irrigation schemes and the government emphasized that its role
was only to provide assistance for organization and creation. The government then
provided loans to the beneficiary associations of the irrigation scheme to fund its
construction on condition that these village-based associations were expected to be
registered as legal bodies in order to be able to refund the government‟s loan and
ensure the maintenance of the schemes after completion (Mandara et al., 2013;
Bollens, 2000; Rondinelli, 1991). This scenario was observed in the Bafut water
community project during fieldwork when the government gave a financial grant
through the council to support the ongoing extension and rehabilitation services of the
community water supply scheme.
2.2.2: Participation in the Management of Community Projects
One way of fostering participation, particularly at community level, is through
recognition, which can take various forms. Social and symbolic rewards are among
those incentives which are effective in enhancing community participation in a
project‟s ongoing implementation (Whittington et al., 2009; Komives et al., 2008).
Studies in the developing world, particularly in sub-Saharan African nations,
demonstrate that instant material rewards such as formal or informal recognition by
community or government authorities at village community ceremonies, play a vital
role in eliciting community involvement and keeping community-based volunteers
much more motivated (Abbas and Lussier, 2010; Collier, 2007; Sachs, 2005). In the
same vein, McGowan and Burns (1988) argued that well organized traditional or
village ceremonies in the form of festivals or „gala days‟, and at which certificates are
offered to village project committee members are highly valued and could boost
citizens‟ active participation in the management of community projects.

50

Marks and Davis (2012) and Rondinelli & Burpitt (2000) threw more light on
the point when they noted that in Sudan, usually, day-long community-based
activities are undertaken after water schemes are fully executed, and basic training is
given to the female folks on the healthful use of water and to the male folks on water
scheme rehabilitation and expansion methods. This was a view shared by Ganu and
Boateng (2012) when exploring the potential contribution of the women‟s informal
sector in Ghana‟s local and national development. They held that recognition of
women has contributed enormously in motivating them for the upkeep of community
initiatives. Although not with women, the incentivizing force of recognition was
confirmed by fieldwork in Kingomen. The recognition of the project provider in 2013
by the Fon of Nso motivated him to keep extending the community electricity
network even under severe climate change challenges.
According to Opare (2011) and Bennett (2015), organizing recreational
activities such as inter-village sportting competitions and grassroots-based poetry and
darma contests provide a community cultural platform for entertainment and potential
to attract large attendance from varied actors of the community. Similarly, McGowan
and Burns (1988) emphasized that such recreational activities should be supplemented
over time by the exhibitions of project materials and spare parts for the ongoing
technical aspects of the scheme. That would allow the local project managing
committees to use such recreational events to disseminate information about the
project‟s requirements, notably issues regarding implementation procedures and safer
water utilization practices (Fonjong et al., 2004; Emmett, 2000). This implies that
organizing recreational events in the community not only motivates grassroots
participation but provides the forum to publicly acknowledge those people who

51

complete repair training sessions, all of which are vital to the sustainable
implementation of local projects (Kumasi et al., 2010).
In addition, McGowan and Burns (1988) had earlier noted that training
incentives from the national government for sustainable management where the local
authorities are instructed to encourage and support grassroots active involvement
project ongoing implementation is vital. However, such government incentives will
only enhance the sustainability of CMPs if local government agents perceive
ownership and control of the scheme by the grassroots as not a challenge to their
renumerations or privileges such as power and budget. In a situation where these
government bureaucrtes perceive it as a threat to their position, they are highly likely
not going to provide the required support that is crucial in effective community
management of grassroots schemes (Bado, 2012; Branca et al., 2011; Reyes and
Opillo, 1986). Failure by individual community members to contribute maintenance
fees usually leads to disillusionment among project committee members and most
often affects community cohesion (Kaunda et al., 2012; Fonchingong, 2009). These
authors were more interested in the disincentive dimension, which is associated with
lack of motivation to pay maintenance fees. They, however, were less concerned with
the various disincentives such as disregard for socio-political institutions and
authorities at grassroots, which are an integral part of this study.
2.2.3: Community Cohesion and Conflict
Community cohesion, mobilization and involvement become difficult to achieve in
communities that attract large numbers of people with vested interests (Dash et al.,
2011; Sobeck, Agius & Mayers, 2007). Although Sun et al. (2010) found that in
Ghana, large and diverse communities with higher levels of existing community

52

groups tend to have functional project committees, this view remains mixed among
researchers. Sally et al. (2013), on the contrary, noted that the relationship between
project beneficiaries towards the management of the Buea water supply project was
strained because of the unwillingness of the management committee to integrate alien
settlers, locally known as „come-no-go‟ or „stranger‟, in the community. This stigma
of „indigene‟ and „stranger‟ relationship has seldom encouraged migrant participation
in the local decision-making processes and the situation is further compounded by the
fact that the management committee usually has no mechanism in place to adapt its
membership to changes in the communities (Olayide et al., 2013; Sally et al., 2011;
Fonjong et al., 2005). This was particularly confirmed in Mbai where alien settlers
from Oku rather were unwilling to integrate traditional landlords from Nso in the
community forestry institution.
The mobilisation of resources to resolve conflicts associated with community-
project management is quite often an illusion. Ayorinde (2011) elucidated that while
specific disputes can be resolved, the implementation of most community projects is
often characterised by a complex interaction among social, political, cultural,
economic and natural aspects that defy either quick or enduring resolution. The author
stressed that the complexity in this arena is such that the conflict may never be
resolved; if that term implies that an agreement is reached that puts an end to those
incompatibilities that caused the conflict. Sally et al. (2013) recommended that the
most appropriate way to tackle stakeholder conflicts in community-driven projects is
to adopt a pluralist perspective to manage the conflict situations rather than to attempt
to resolve them. It is not surprising therefore that conflicts such as those observed
between project management committees, the traditional landlords, graziers, farmers,

53

bee farmers and carvers in the North West Region have proven very difficult to be
resolved.
Writing on conflicts in community-managed projects in sub-Saharan countries
including Cameroon, Folifac & Gaskin (2011) and Njoh (2002) argued that the
complex socio-political context at the time and the large number of people with an
interest in the community projects left the projects with little chance of resolving the
issues. Such an argument notwithstanding, the point is still unclear. By attempting to
resolve project conflict, the project management committee is likely to misdirect the
task it had and will rather create room for the emergence of more conflicting
situations (Fonjong et al., 2004). Regarding conflicts between stakeholders due to
vested interest, Roloff (2008) argued that by drawing on a wide range of stakeholders
with vested interests, the prospects for appropriate project design and commitment to
achieving objectives are likely to be undermined.
Besides, when primary stakeholders are excluded and decisions regarding their
fate are taken in their absence, it becomes problematic, and this often enhances
misinterpretation of information transmitted to them and acceptance of rules set
(Verbeke & Tung, 2013). In line with this assertion, Fellows & Liu, 2013 and
Komovis et al. (2009) argued that where project end-users are not participating or
consulted on decisions over project management rules, they will be unlikely to accept
them. As a result they will not fully support the ongoing implementation of the
project. The failure by individual community members to contribute maintenance fees
usually leads to disillusionment among project committee members and most often
affects community cohesion (Kaunda et al., 2012; Fonchingong, 2009). This situation
was observed in the Kingomen community hydro-electric power and Mbai
community forest conservation projects in the North West Region of Cameroon

54

during fieldwork, as conflict of interests among some stakeholder groups who do not
perceive a favourable cost-benefit interaction in the projects. Such stakeholders‟
conflicting interests put the survival of local projects at risk in the long term
(Ivanova-Gongne, 2015; Yang et al., 2015; Oji, 2009; Cousins et al., 2008).
2.3: Environmental Challenges
It is acknowledged that the physical environment through its elements of relief and
climate change greatly affects the seasonal and yearly water supply both in quality
and quantity in both the developed and developing countries (Batti, 2015; Tange et
al., 2015; Sally et al., 2013; Kometa and Ebot, 2012; John, 2011). This implies that
environmental degradation directly affects the production and distribution of potable
water and therefore influences the long-term functioning of water-dependent schemes
such as hydro-electric power and reforestation, given that communities are found at
different altitudes (Ako et al., 2010; Westerhoff and Smith, 2009; McCall et al., 2007;
Robert, Parris & Leiserowitz, 2005). This section attempts to understand the natural
conditions that prevail in the developing world including Cameroon and how they
affect the functional sustainability of projects that are community-managed.
2.3.1: Climate Variability and its Impact on CMPs
Addressing the increasing concerns about the availability of water supplies in
developing countries, Ako et al. (2009), Andre (2012) and Whittington et al. (2009)
noted that due to climate variability and change dams were unable to supply water for
drinking and irrigation and for the generation of hydro-electric power in sub-Saharan
Africa. Mbih et al. (2014) writing on the „impact of climate change on water
depended local schemes‟ held that climate change in terms of fluctuations in
temperature and rainfall amount affects the available water in the drainage basin.

55

These drainage basins are areas where the rivers and springs used in generating
electricity and pipe-borne water for the communities are found (Kometa and Ebbot,
2012).
According to Fonjong et al. (2004), the contemporary unprecedented increase
in temperature and drop in rainfall particularly in sub-Saharan countries has reduced
the quantity of water available not only for the turning of turbines for the generation
of hydro-electricty from dams but has also made safe drinking water scarce. Similarly,
Kibuka-Musoke et al. (2012) stressed that low rainfall in most parts of Africa is
already posing a problem particularly for small water-dependent schemes such as
hydro-electricity, irrigation and pipe-borne supply. In the same vein, it is noted that
the use of small streams for this purpose was being affected by rising temperatures
especially during the dry season, leading to considerable falls in the volumes of water
available for hydro-electricity, pipe-borne water, irrigation and forestation
regeneration schemes (Bele et al., 2013; Kumasi et al., 2010; McCool & Stankey,
2004). The views of these authors were confirmed in all the four study sites as the
Bali and Fundong community water projects were affected during the dry season,
while springs in shrines found in Mbai forest were drying off making the pouring of
libations difficult. The Kingomen electricity project also faces problems of reduced
volumes of water in the dam, leading to fluctuation in voltage and the destruction of
appliances.
The views of these authors were verified and confirmed in Kingomen as
during the dry season the scheme suffers from low water volumes. The authors
however did not foresee other contributing factors such as irrigation practices along a
river course especially during the dry season which may affect the water volume.
According to Ako et al. (2013) and Ngala (2012), environmental constraints

56

compound uses of rivers by community residents for domestic projects such as the
moulding of sun dried bricks for house construction as well as the planting of
eucalyptus trees along the river which draws up the water that could have been used
for hydro-electric generation or pipe-borne water supply. This view was observed in
Kingomen during the major field work that took place in April, 2015. Moreover,
Aksorn & Charoenngam (2015) and Osabuohien et al. (2015) examining the possible
climate change impacts on energy schemes in South Africa upheld that climate
change affects the ongoing functioning of community-driven hydro-electric schemes
through rainfall and temperature variations. The author elaborated on the role of
institutions as an intervening variable in understanding the link between
environmental challenges and energy supplies. Osabuoien et al. (2015) opined that
continuous strengthening of locally-based institutions would help to address the effect
of environmental constraints on water supply or water related projects.
A similar view was put forward by Gwebu (2002), who while writing on
Botswana‟s energy generation challenges opined that surface water evaporation and
reduced runoff were factors that riddled the sustainability of hydro-electric power
schemes and consequently needed to be properly monitored, with alternative energy
sources explored to mitigate the potential negative impact on climate change. This
implies that meteorological elements such as sunshine, wind and humidity as well as
other human activities have the possibility to offset the rise in temperature, thereby
affecting the availability of water needed for water-dependent schemes (Mbih, 2014;
Kumasi et al., 2010; Westerhoff and Smit, 2009; Myers, 2009). Moreover, Ngwa &
Fonjong (2002) undertook a close examination of the networks of water distribution
in Cameroon and found that the rivers reduce drastically in size in the highland areas
during the dry season and in the rainy season their volumes increase, thereby giving

57

the characteristic of irregular water flows and basin regimes. This assertion was
observed and confirmed at the Bali, Fundong, Kingomen and Mbai project sites
except for the fact that these areas do not suffer from any drought effect as of now.
2.3.2: Relief and its Impact on CMPs
Relief and the volume of water bodies share an inverse relationship. This implies that
the higher the relief, the lower the volumes of water bodies and vice versa (Nteh,
2011). It is found that the undulating nature of an area has the possibility of affecting
the ease with which water and other schemes could be made functionally sustainable
(Njoh, 2009; McCall & Minang, 2005). Similarly, the link between geographical
constraints and project service quality was suggested by Frankema & van Waijenburg
(2012) when they argued that weak African growth and development is a consequence
of its difficult physical environment.
In the same vein, Wijesinghe & Lai (2011) and Mathie & Cunningham (2003)
discussing micro hydro-electricity basics held that the slope gradient determines the
quality and quantity of small hydro schemes. This means that the greater the height of
the slope from where water flows, the greater the potential quantity and quality of
electricity to be produced due to adequate water supply (Sivakumar, Das, Padhy,
Senthil Kumar & Bisoyi, 2013). It is argued that small scale schemes such as hydro-
electric power; pipe-borne water and forest conservation were highly site specific and
determined by the availability of natural features such as relief and water (Kibuka-
Musoke et al., 2012; Kumasi et al., 2010; Paish, 2002).
Working on small hydropower projects, Okafor & Hofmann (2004) found that
climate variability and deforestation are the major obstacles to the achievement of
sustainable small scale hydropower supply in remote rural and peri-urban areas. In a

58

similar viewpoint Alnakhlani et al. (2015) and Kumasi et al. (2010) found that for the
conditions necessary for local water-dependent schemes to be sustainable, an all year
round catchment or river with tributaries and considerable amounts of rainfall to
supply water is vital. Similarly, Enchaw (2009) opined that increasing population in
the villages at the lower altitudes of the Kilum-Ijim forest has led to progressive
deforestation of the protected forest for agriculture. In the field, steady loss of Mbai
Forest was observed and confirmed as some villages have emerged in this community
forest area through progressive occupation of the forest by farms and grazing, thereby
threatening the sustainability of the protected forest species.
2.4: Technical Capability Challenges
The purpose of this section is to review literature related to human capability
deficiencies in terms of quality and quantity of trained personnel and how they are
influencing the effective implementation of basic community-driven projects in the
developing countries, particularly in sub-Saharan Africa including Cameroon.
Although community management is widely recognised to be effective in the
provisioning of basic social services, rural and peri-urban communities in less
developed countries lack the right technical capabilities to effectively manage their
local initiatives (Batti, 2015; Ryan et al., 2012; Driesen and Popp, 2010; Munongo,
2007). In this light, Abiona and Bello (2013) discussing factors limiting grassroots
participation and sustainability of community development projects in Nigeria argued
that inadequately qualified technicians at grassroots levels and dependence on
voluntary technical inputs of community members to run projects was a call for
concern.

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In the same light, Ako et al. (2010) evaluating efforts made to improve the
management of water in Cameroon suggested that training at local council levels may
improve water management. Similarly, Ryan et al. (2012) argued that community-
managed projects can be rendered more effective by organizing community
associations and helping them attain the basic technical skills and resources required
to carry out ongoing project operations and extension.
The issue of technical capabilities in community-managed projects as evoked
by these scholars was observed in our four study sites and fieldwork enabled us to add
another dimension to it. These authors are more concerned with the technical know-
how of manipulating equipment with little emphasis on technical issues such as
monitoring, evaluation, and social marketing strategies (activities put in place or
developed to change end-users‟ behaviour towards project repairs payment) for the
collection of maintenance fees, which are integral parts of our study. When
accountability is poor, it will dissuade community members from paying maintenance
fees and putting in physical effort to effect field activities such as patrolling and
monitoring, aspects which greatly undermined the sustainability of the Bali and Mbai
community-managed projects. Similarly, when appealing social marketing strategies
(that is, updating end-users through training workshops) are not employed, it becomes
very difficult to collect expected maintenance fees from most community members, as
observed in Fundong and Kingomen.
According to Marks and Davis (2012), low sustainability of community-
managed projects in many rural communities in sub-Saharan Africa is because of
limited knowledge of the beneficiary community-based members on basic
maintenance and extension services. In support of this assertion, Opare (2011)
attributed grassroots abilities to sustain community-driven projects in Ghana to the

60

municipal councils‟ efforts to elicite grassroots involvement in projects initiation and
implementation aspects by initiating some training programmes at grassroots level.
Abiona and Bello (2013) examining grassroots participation in the decision-making
process and the factors limiting the achievement of sustainable development in
Nigeria concluded that inadequate technical skills among other factors were
responsible for the limited ongoing project operations. In the same view, Kanayo et al.
(2013) reviewing factors limiting the attainment of sustainable development
acknowledged on-the-job training as a means to enhance technical skills among local
communities. On-the-job training is quite fundamental, as confirmed by fieldwork.
The evolution of technology is fast rendering many technicians unable to keep pace,
particularly in rural areas where their levels of general formal education are very low.
For those who are able to keep pace, their services will be solicited out of their
communities leading at times to skills flights as observed in Mbai when Birdlife
International handed the project to the community.
By volunteering or taking up an active participation in community-based
associations, community dwellers will learn the skills that enable them to
bestundertake certain local tasks, as well as learning ways to mobilize and take
collaborative decisions with other stakeholders (Pernille and Martina, 2013;
Mwapachu, 2010). Besides, it is argued that in most rural areas in the developing
countries vital members on project committees leave the community or die and
sometimes there are no mechanisms to replace such members with trained individuals
(Crow, 2013; Harvey and Reed, 2007). On the contrary, where the government invests
time and resources to enhance the technical capabilities of grassroots communities to
operate and extend basic livelihood services, community-managed projects could be
more sustainable (Abiona and Bello, 2013; Karani and Gantsho, 2007).

61

In this light, Jacobs (2012) analysing the development of the multi-level water
governance framework in the Orange-Senqu River basin in South Africa indentified
skills flights and lack of capacity as major barriers to effective water management.
Armanios (2012) referring to Egypt‟s project for rural potable water supply, asserted
that poorly trained caretakers have been the main setback to effectively handle water
pollution and distribution issues. The author argued that in developing countries only
limited effort is being made by municipal or central governments to train community
engineers, sociologists and extension agents. Buccus et al. (2008) assessing public
participation in municipal processes highlights community experiences of attempting
to engage with municipalities in development planning and policy processes, opined
that ensuring the sustainability of municipal projects in terms of implementation
depends on how well strategies such as community-based development, community
health and hygiene related education, local water project design and execution are
incorporated into community basic needs.
According to Sally et al. (2013) the sustainable management of grassroots
projects depends on the extent to which members of community managing committee
are regularly offered training on safety and reapirs. They suggested continous follow-
up of project staff as a viable way of enhancing of grassroots management
capabilities. However, McCall et al. (2007) attributed the inadequate community
capacity in most rural communities in the developing world to the false perception of
indigenous communities as homogeneous areas of social consensus while
undermining internal complexity. For instance, Ako, Eyong & Nkeng (2010) and
Fonjong et al. (2004) assessing the indigenous management of water supply schemes
in Cameroon argued that the heterogeneous nature of local communities in terms of
skills, literacy, belief and needs was largely responsible for the high failure rates of

62

projects that are community-driven. The authors regretted the fact that in most cases
such internal diversity of communities is ignored by project providers.
However, technical constraints to sustainable management of projects and
subsequently their ongoing effective implementation are not only limited to the
developing countries, for even the emerging countries are not left out (Johnson et al.,
2004; Carter, Tyrrel & Howsam, 1999). For instance, Idris (2007) writing on cultural
barriers to improved organizational performance in Saudi Arabia argued that cultural
and religious traditions have made the country so dependent on foreign technical
skills. The author concluded that most Saudis want to be managers, not computer
programmers or engineers. Inadequate efforts put in place to effectively organize and
offer better training community groups, particularly women, to actively get involved
in the ongoing implementation of projects (Ganu and Boateng, 2012) and to train a
liaison team of both men and women as local extension workers in the maintenance
and use of community schemes pose great challenges to most small scale projects in
the developing world (Henness et al., 2013; Ryan et al., 2012; Fonchingong, 2006).
Even though technical constraints remain important in the sustainability of
community-managed projects, the main issue facing many poor rural communities in
developing countries including the North West Region of Cameroon is not just
bringing projects to the local people, but bringing the local people to these projects
(Moriarty et al., 2013; Njoh, 2009; Harvey and Reed, 2007). This implies that the
most salient challenge is putting in place an effective mechanism for organizing
individuals in rural communities to fund and effectively govern their own community
projects, through community-based development unions or associations in what
Fonchingong (2009) referred to as self-reliant efforts. According to Opare (2011) and
Van Houweling et al. (2012), The capabilities of local communities to technically

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govern their basic schemes is enhanced when there is effective cooperation at local
level between the state agents, local government authorities, NGOs and the private
stakeholders.
2.5 Governance/Institutional Issues in CMPs
Operating community-managed projects to the benefit of community project end-
users and organizing local skills for administrative and all of the day-to-day activities
remain vital for their sustainability. It is argued that ongoing long-term project service
provisioning is essentially a process of human organization and the use of technology
(Opare, 2011; Harvey and Reed, 2007). Considering sustainability, it is suggested that
there are some activities which may promote sustainability with respect to both
project initiation and the implementation phase. For instance, accountability,
transparency in the management committee, coordination and participation in the
project decision-making process affect the sustainable implementation of projects that
are community-managed (Sally et al., 2013; Harvey and Reed, 2007; Brackertz &
Kenley, 2002).
According to Harvey and Reed (2007) the main governance difficulty facing
community-managed projects in sub-Saharan Africa is the deterioration of
accountability of members of the management committee and some community
residents. Similarly, Anyang (2013) writing on governance challenges in Africa
ascertained that the sustainability of community-managed projects depends crucially
on the enabling institutional arrangements, which requires grassroots commitment,
and accountability of leaders to their community to avoid loss of trust and respect. A
similar viewpoint had been put forward by Jacobs (2012) and Brown (2011) when
they analysed the development of the multi-level water governance framework in the

64

Orange Senqu River basin in Southern Africa. The authors found out skills flights,
lack of trust and confidence building in the management board were some of the
major barriers to effective water supply governance. Although skills flights were less
important in our study sites, lack of trust and confidence building in the management
board was confirmed by fieldwork in Bali and Mbai.
However, accountability and transparency in local community institutions
themselves depend upon factors which enable project management committees to be
more answerable to project end-users through mechanisms such as effective
communication and compensation as opposed to volunteerism (Ibem, 2009; Colvin et
al., 2009; Gorla, 2008; Kulshreshtha, 2008). For instance, the lack of accountability at
the grassroots level coupled with inadequate top-down support were observed as
major drawbacks to the sustainability of community-managed projects in poor
communities in the developing countries (Marks & Davis, 2012; Aginam, 2010;
Dasgupta & Beard, 2007). It is argued that the sustainable management of community
projects depends on the level of stakeholder networking and coordination of resources
at grassroots (Kumasi et al., 2010).
Such grassroots networking allows stakeholders to interact and trust each
other, subsequently raising collective participation and effective project
communication (Ahimbisibwe & Nangoli, 2012; Emeh et al., 2012, Collamard, 2010).
However, it is argued that making a project management committee accountable to
the community depends on the full backing of the law and political will, all of which
may be beyond the affordability of a poor community (Sally et al., 2013; Komives et
al., 2006; Fonchingong, 2005; Fonjong et al., 2004). The assertions of these authors
were confirmed by fieldwork, particularly in Bali and Mbai where issues of

65

accountability and transparency were acute and undermined the sustainability of the
projects. By failing to respect benefit sharing quotas, the Fon of Oku decided to seize
the working documents of the forest management institutions.
2.5.1: Governance in CMPs
The need for local resource coordination has been widely acknowledged in
community project governance literature but it is not clear exactly how local resources
could be or should be coordinated effectively (Sharma, 2013; Polonsky & Scott, 2005;
Fonjong et al., 2004; Gupta, Grandvoinnet & Romani, 2004). Robles-Morua et al.
(2009) assessing community-partnered water supply projects in Mexico found that
strong networks and clusters of community-based organizations through local
partnership provided a viable way to guarantee the long-term functionality of
community-managed projects, particularly the water supply programme.
A similar viewpoint had been put forward by Proenca (2003) when the
researcher realized that communities could effectively control resources through
grassroots coalition building. According to Bakalian & Wakeman (2009) and the
World Bank (2008), stakeholder networking is a long-term holistic approach driven
by government of developing countries in partnership with private, civil society and
other donors at local level in order to produce sustainable service results. In the same
vein Njoh (2011) argued that where there is weak interaction among grassroots it
undermines straightforward relationship building at local level between project
management committees, community-based organizations and local NGOs and in the
long term hinders the ongoing effectiveness of community programmes.
The relevance of building stakeholder collaborative networks in projects that
are community-managed cannot be underestimated. Quite often, donors would want

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to assist large collaborating groups rather than individual groups. Working together
could enhance the capacity of communities to bring diverse players together to solve
complex project problems that may be beyond the means of a single community
(Opare, 2011 and Edward, 2002). According to Beach (2010) and Dale & Newman
(2008) building and sustaining community-based networks of collaborations have
become vital mechanisms to recognize the complex social issues related to
community projects and to plan how such issues could be best addressed. Eskerod &
Huemann (2013) examining the impact of project stakeholder management on
sustainable development found that sharing of resources and capacity building
through networking within communities could enable local stakeholders to take
greater responsibility for long-term ongoing implementation of community-managed
projects.
However, community governance is a complex and sometimes contested
concept in respect of definition and strategies (Dale & Newman, 2008; Cleaver &
Toner, 2006). Opare (2011) writing on rural development challenges in Ghana found
that weak networking between community-based development organizations was
behind the limited ongoing functionality of most community-managed projects.
Therefore strengthening local governance institutions through grassroots stakeholder
networks is a viable strategy for the sustainability of community-managed projects in
poor and vulnerable African communities (Buchenrieder & Balgah, 2013; Bucuane
and Mulder, 2007). Despite the widespread recognition of the potential of grassroots
collaborative networks to enhance coordination of resources at local levels, networks
are difficult to build and even harder to sustain in culturally diverse communities
(Apaliyah et al., 2012; Turner, 2009; Roloff, 2008; Svendsen, 2005). This is true in
highly heterogeneous communities such as those in the South West Region of

67

Cameroon and in situations where elite members fan discrimination as was the case of
come-no-go in the 1990s that affected the progress of community forestry in this part
of the country.
When the necessary conditions for effective stakeholder collaboration and
resource coordination are unavailable, the outcome is certainly going to be less
effective (Thomson et al., 2013). Collaborative networks among community
stakeholders enable the sharing of knowledge, expertise, skills and experiences in
projects that are community-driven. This becomes possible only when the concerned
stakeholders are willing to bring together their competencies (Plough et al., 2013;
Colvin et al., 2009). In addition, Eskerod & Huemann (2013) argued that such
interaction enables those local stakeholders involved to learn from and to see the
competencies of one another. The benefit of sharing resources and skills is that such
competencies would be maximized for the benefit of community projects and thus
improving their sustainability (Park et al., 2009). Moreover, Verweij et al. (2013)
argues that stakeholder interactions foster a common language, a common set of
interests and a shared perspective which is vital in the decision-making process of
project network governance. Such networking among stakeholders over time could
enable more openness and willingness to share skills, ideas and resources as well as
making local stakeholders become comfortable enough to admit their failures and
successes (Doloi, 2012; Heath, 2007; Langhout et al., 2002).
However, in spite of the vast acknowledgement of the positive effect of
stakeholder collaboration in project communication, project decision-making and
sharing of resources (Verbeke & Tung, 2013; Hirschi, 2010; Poole, 2008; Decker et
al., 2005), some authors do argue that stakeholders‟ collaboration if not well governed
might constitute an obstacle to the effective management of community projects (Park

68

et al., 2012), since stakeholders might need to relearn certain skills and knowledge
(Jepsen & Eskerod, 2009; Roloff, 2008). Some fundamental questions as to whether
grassroots communities possess the relevant expertise to make meaningful
contributions towards their projects, and whether such community-managed projects
are functionally sustainable, are yet to be answered (Poole, 2008; Fonjong et al.,
2004).
In the course of assessing community-partnered projects in Mexico, Robles-
Morua (2007) found that learning networks through collaborative workshops to train
and retrain personnel so that people would have the desired skills needed to
implement the ongoing management of community-driven projects were lacking. Yet
Lee and Park (2009) noted that stakeholder networks can also pose great problems to
project implementation. They can lead to potential tension and conflicts among
stakeholders over vested interests (Verbeke & Tung, 2013; Fonchingong, 2005).
Tensions between project stakeholders often occur due to vested interests and the
inability to identify mutually beneficial projects (Crow, 2013; Njoh, 2011a). When
stakeholders begin to encounter difficulties with committing time and resources to
their networks, the outcome may be problems with attaining project aims (Schneider
& Wright, 2013; Bidwell & Ryan, 2006; Weiss, Anderson & Lasker, 2002; Lubell et
al., 2002).
Another reason for the limited sustainability of community-managed projects
in the developing world has been attributed to the fact that most often the beneficiary
communities have no contact with the project implementing agency (Ahimbisibwe &
Nangoli, 2012; Njoh, 2011). This implies that effective communication links between
the beneficiary communities and implementing agency are vital for continuous
servicing of projects in local areas (Kleemeier, 2010; Whittington et al., 2009).

69

Stakeholder networking and participation in the decision-making for projects become
possible when conditions for communication and information sharing among the
stakeholders are uncorrupted by differences and vested interests (Dietrich et al., 2010;
Levin, 2008). It is argued that one of the primary ways of ensuring project
stakeholders‟ commitment is effective communication (Poole, 2008). This implies
that inadequate flows of information within communities affect not only stakeholder
relationships but community cohesion as well. Such inadequacies in information flow
lead to misinterpretation, which could create an atmosphere of suspicion in project
governance (Cousins et al., 2008; Durley, 2007).
On the contrary, Olla (2008) and Servaes & Malikhao (2007) argued that
stakeholder networking and effective communication enhance the sharing of
knowledge and skills and thus permit the reaching of a consensus for action that takes
into account the aspirations and capacities of all the concerned parties. The relevance
of grassroots networking is that it allows local stakeholders to develop good speaking
and listening skills towards other project stakeholders (Aaltonen et al., 2008; Olla,
2008). Despite the widespread recognition of effective communication and
information sharing among community project managers and how such collaborative
networks could enhance the sustainability of projects that are community-driven, in
the developing countries sharing and coordinating community-based skills remain
weak. This is because the building mechanism for effective communication and
grassroots networking in ensuring quality project management depends on appropriate
technology, which most rural communities in the developing world do not possess
(Sianipar et al., 2013; Robles-Morua et al., 2007).

70

2.5.2: Decision-Making Process in CMPs
It is acknowledged that equal opportunities in the decision-making process constitute
an underlying principle for stakeholder engagement (Burchell & Cook, 2013; Roloff,
2008). This differentiates stakeholder engagement from communications processes
which seek mainly to issue a message or influence groups to agree with a decision
that has already been made (Ahimbisibwe & Nangoli, 2012; Robles-Morua et al.,
2007). Similarly, Kenny (2013) defined stakeholder engagement as the process
whereby an organization involves people who may be affected by the decisions it
makes or can influence the implementation of its decisions. This implies that
stakeholders are capable of supporting or opposing the decisions or being influential
in the organization or within the community in which it operates, or hold relevant
official positions or are affected in the long term.
While assessing the management of rural irrigation schemes in India, Sharma
(2013) stressed that including local stakeholders in decision-making for the purpose
of implementing community projects has an advantage in reducing misinformation
among the management committee groups in emerging countries. Similarly, Harvey
and Reed (2007) argued that participation is a critical tool for sustainable community
project management especially where key local stakeholders are actively involved in
decisions that relate to the design and implementation of their projects. Forming
networks through partnerships would enable communities to pursue dialogue and
reciprocity in discussing management challenges regarding their project needs such as
cost recovery, repairs and ongoing maintenance (Robles-Morua et al., 2007). These
authors were more interested in the fact that all stakeholders should be made part of
the decision-making team with little emphasis on the fact that community members
may be part of the decision-making process without their views being incorporated in

71

the final decisions, a situation described by Selener (1997) as assistencialism.
Community-managed projects which are initiated by elite member(s) such as the
Mbai Community Forest are often clouded with assistencialism.
Although collaborative networks are viewed by researchers as viable way of
enhancing active grassroots participation in the decision-making process and trust
building, this assertion is still being questioned. A majority of rural and peri-urban
communities in developing countries host high illiteracy levels and such educational
deficiencies hinder active involvement not only in the decision-making process but
also in the governing of community projects (Alasah, 2011; Turner, 2009; Akinbile et
al., 2006; Fonchingong & Ngwa, 2005; Fonjong et al., 2004). These deficiencies
impede the capacity of communities particularly in sub-Saharan Africa to soundly
coordinate their resources towards the ongoing management of local projects (Crow,
2013; Keitumetse, 2011; Harvey & Reed, 2006). The dwindling sustainability of
community projects is further attributed to the fact that the politically elite members
who usually live in the cities often elaborate policies for rural populations even
though they are seldom fully conversant with the problems and areas for which such
policies are being elaborated (Mansuri, 2013).
Sahring a similar view point, Rebecca and Rogers (2012) argued that such
policies do not usually yield benefit to the grassroots people, rather they lead to
limited transparency and confrontations. According to Fonchingong and Ngwa
(2005), assessing grassroots participation in infrastructure provision in the North West
Region of Cameroon found that the process of community project management is a
highly political issue that could become very complicated when cushioned by the
influence of powerful elite, and when subjected to unclear communication. Njoh

72

(2011) further noted that the unclear communication in the management processes
sometimes threatens community cohesion by triggering conflicts between project
beneficiaries and the management committee.
2.5.3 Communication and Information Sharing in CMPs
Another reason for the limited sustainability of community-managed projects in the
developing world is the fact that most often the beneficiary communities have no
contact with the project implementing agency (Ahimbisibwe & Nangoli, 2012; Njoh,
2011). This implies that effective communication links between the beneficiary
communities and implementing agency are vital for the continuous servicing of
projects in local areas (Kleemeier, 2010; Whittington et al., 2009). Stakeholder
networking and participation in the decision-making for projects become possible
when conditions for communication and information sharing among the stakeholders
are uncorrupted by differences and vested interests (Dietrich et al., 2010; Levin,
2008). It is argued that one of the primary ways of ensuring project stakeholders‟
commitment is effective communication (Poole, 2008). This is because building
mechanisms for effective communication and grassroots networking in making
quality project management depends on appropriate technology, which most rural
communities in the developing world do not possess (Sianipar et al., 2013; Robles-
Morua et al., 2007).
Although it is a truism that appropriate technologies for effective
communication are lacking in most rural communities in the developing world, many
project providers will want to use less straightforward communication only to attain
their set objective of providing the project to the community. This assertion was
confirmed in the Mbai Community forest area by fieldwork. While boundary
demarcation proved very difficult and conflictual, Birdlife International

73

communicated it to the local population as an interim strategy even though the NGO
knew that it was going to be a permanent conservation strategy.
A necessary condition for stakeholders to network is the common awareness
and recognition of a common goal (Roloff, 2008). According to Doloi (2012)
stakeholder networks occur when there is the belief that working together can effect
change. Without a common belief, working out details of how to focus on collective
effort becomes difficult among project stakeholders. Stakeholders must be committed
to the network relationship, which can be achieved if all parties are allowed to
participate in all the stages of the planning of a project (Eskerod & Huemann, 2011;
Svendsen, 2005). Such interaction among local stakeholders facilitates free use and
sharing of skills and resources for the benefit of their entire community, with project
gaols thus attained (Verweij et al., 2013; Turner, 2009; Roloff, 2008). Although these
authors rightly stressed the commitment of stakeholders, in many rural communities
such as those under study, the role has been to limit the number of stakeholders as
much as possible, making the issue of stakeholder identification complex. When
stakeholders are merely co-opted, the purpose for which they were brought together is
pre-defeated, as they have different intentions in terms of benefits as observed in
Mbai and Bali.
Another prerequisite for local stakeholders to network in managing projects
that are community-managed is effective communication between the key project
parties (Ahimbisibwe & Nangoli, 2012; Neville & Menguc, 2006). Consultations
among key project stakeholders must be vigorously encouraged so that all parties can
be engaged in the projects at all levels to ensure full participation (Beach, 2010;
Hirschi, 2010; Bridger & Luloff, 1999). According to Ahimbisibwe & Nangoli (2012)
reciprocal or two-way, ongoing information on project implementation must be

74

disseminated to concerned stakeholders so that quality decisions can be taken based
on shared information.
Furthermore, trust is identified as one critical element when forming
stakeholder networks for project management since trust among communities can
greatly influence actors‟ desire to ensure that the project objectives are attained
(Virgil, 2010; Servaes & Malikhao, 2007; Hancock, 2001). It implies that in order to
collectively maximize scarce resources and to reduce duplication of efforts,
community stakeholders should build synergies at the lowest levels to ensure the
sustainability of community-managed projects. Interdependence of roles where
stakeholders actively take part in decisions regarding the planning, implementation
and ongoing maintenance of projects is a necessary condition in stakeholder networks
for sustainable management (Verbeke & Tung, 2013; Olla, 2008; Hopwood et al.,
2005).
2.6: Economic or Funding Challenges
Economic constraints are a common feature in the management of community-driven
projects in developing countries. This section of the literature seeks to fully gain
insights into the funding challenges surrounding the sustainable management of
projects that are community-driven. The dwindling sustainable implementation of
community-managed projects in developing countries has been largely attributed to
financial inadequacy at both the national and local levels. For instance, Callamard
(2010) offered an overview of the current financial difficulties and their implications
for Africa‟s development and concluded that limited knowledge of running costs for
projects and failure by some individual community members to contribute

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maintenance fees significantly affect the ongoing implementation of community-
managed projects.
According to Dash et al. (2011), lack of adequate financial resources and weak
comprehensive budgetary plans or feasibility studies by locals undermined the
implementation of a community watershed scheme in the Indian district of Keonjhar.
In the same vein, Khatibi & Indira (2011) opined that direct access to funds,
particularly for project end-user groups and project management committees, can
engender a sense of responsibility and feeling of ownership which could enhance the
sustainable implementation of locally-based schemes. The ability of community-
based institutions to effectively raise and manage financial resources remains mixed,
as Abiona and Bello (2013) argued. The authors held that poor financial management
and low level capabilities of locally-based project committees have often contributed
to misunderstanding of the projects‟ requirements and this usually leads to incomplete
attainment of the project objectives.
Similarly, Kanayo et al. (2012) examining the drawbacks to the sustainable
development in sub-Saharan Africa noted that lack of access to financial resources
and weak accountability of management institutions were the main hindrances to
effective ongoing operation and maintenance in African countries. The assertions of
these authors were verified and confirmed by fieldwork even though they were
focusing at macro-level with little interest at micro-level for local communities such
Bali, Fundong, Kingomen and Mbai where access to financial resources and weak
accountability of management institutions are acute.

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2.6.1 Funding Mechanisms for CMPs
According to Sally et al. (2013) the main challenge to the long-term operation of
community-managed projects emanates from the fact that the management of the
projects often relies on voluntary inputs from community members. Harvey and Reed
(2007) assessed community management in sub-Saharan Africa and found that the
reliance on voluntary input from community members was quite vulnerable because
they may voluntarily contribute financially for a while but are reluctant to do so in the
long term. Similarly, Labonne and Chase (2011) questioned the potential of
community-driven projects to enhance social capital and argued that relying on a few
vital individuals for the seeking of funds for community-managed projects, and lack
of mechanisms to replace these key individuals in case of transfer or death put the
long-term survival of CMPs at stake.
In the same vein, Dash et al. (2011) acknowledged that this constraint is
further made more serious by the fact that there are often no long-term incentives for
community-based institutions to continue to participate financially in the repairs and
extension of CMPs. It seems that financial participation is more conducive to
sustainability than other non-financial forms of participation. According to Njoh
(2011) participation in rural community development can be in cash or in kind. In-
cash is a form of participation in which local people contribute money for the upkeep
of their project whereas in-kind participation refers to donation in material or moral
forms either voluntarily or compulsorily towards community-managed projects.
Payment in kind and cash were observed as common practices in the NWRC in
general and particularly in the four study sites, although it was acute in Kingomen.
Payment in kind is a practice that became rife in the NWRC during the colonial era
when western education was introduced and parents were required to pay fees for

77

their children. Due to the scarcity of financial resources and poverty, they usually paid
in terms of tins of beans and maize.
This practice still continues due to worsening poverty and has permeated other
sectors such as community-run projects, as observed during fieldwork. Cost recovery
is vital issue for the financial sustainability of any community-managed project. Cost
recovery is required for staffing, training, transport, spare parts, materials, tools, and
replacement of units (Sally et al., 2013; Whittington et al., 2009). The cost recovery
mechanism is real when the basis of payment, the means of administering and
accounting for community project charges, is made by the community. This implies
that better cost recovery can ensure sustainability of community-managed projects
even though it relies on community willingness to pay for a project‟s ongoing repairs
and maintenance. The willingness of the grassroots populations to contribute
financially for the ongoing cost of maintenance and extension for community-
managed projects in most developing countries is affected by the high levels of
poverty in rural and peri-urban areas (Crow, 2013; Njoh, 2011).
Income level and the availability of adequate funds to ensure continuous
project functioning in poor communities are attributed by Foster (2013) to low income
levels of project beneficiaries for the low sustainability of hand pump projects in sub-
Saharan Africa. The funding of CMPs is further compounded by the fact that there is
a lack of training programmes provided on accounting and fund management before
giving full financial responsibility to the community-based management committees,
which greatly hinders the ongoing long-term functioning of community projects
(Dash et al., 2011; Callamard, 2010; Adam et al., 2002). Several authors have
recognized the necessity of enhancing local understanding and skills through various

78

training programmes to manage project finances (Ryan et al., 2012; Mandala, 2008;
Platteau et al., 2005).
In the same light, Ashan and Gunawan (2010) upheld the view that when
funds are managed by the project committee and continually monitored by the
community development association representing project end-users, the risk of social
conflict may be minimized in the long run. Njoh (2011) and Fonjong et al. (2004) put
forward the view that lack of accountability in project funds may result in loss of
trust, confidence and respect in the project community members and may not only
risk social cohesion but also affect the active participation of members of the
community in creating an ethos of sustainable project management. Poor
accountability in project funds was observed to have resulted in loss of trust,
confidence and respect in project community members in two of the communities
studied. This is a serious issue in the study sites when it comes to the recovery of
costs.
Koontz & Sen (2013) in a comparative study of watershed projects in India
and the USA stressed the need to develop the capacity of local community institutions
in savings and income-generating activities in case of government defunding. In a
similar stance, Bado (2012) referring to rural infrastructure development in the Volta
region of Ghana, argued that lack of willingness of local financial institutions to
support projects‟ committees with funds greatly undermined their ongoing
maintenance and extension. This implies that project sponsors need to strengthen the
capacity of grassroots to create and promote savings as well as other income-
generating activities. Khang and Moe (2008) advocated for direct access to funding as
a way to guarantee the long-term ongoing survival of grassroots initiatives. However,
this viewpoint on direct access for funds remains questionable on the grounds of the

79

remoteness of local areas coupled with the fact that banks are practically absent in the
rural and peri-urban communities to provide such direct financial access.
Moreover, Karani & Gantsho (2007) evaluating the contribution of the Clean
Development Mechanism on poverty alleviation in Africa stressed the role of
financial institutions in improving grassroots livelihoods. In addition, Abiona and
Bello (2013) and Nyarko et al. (2007) examining the sustainability of community
development projects in Nigeria noted that inadequate funding and low income levels
of grassroots populations were among other factors impeding the sustainability of
local projects. A similar view had earlier been put forward by Forboseh et al. (2003)
and Thomas et al. (2000) who when working on the impact of the economic crisis and
rural crisis on the environment of the Ijim-Kilum forest site in the North West Region
of Cameroon noted that human activities led to the deforestation of more than
74.5km² of the montane forest. This assertion was verified and confirmed during
fieldwork as farmers and graziers in and around the Mbai community forest area
scramble for grazing and cultivable land in the conservation site, thereby undermining
its ongoing sustainability.
Conclusion
In spite of the widespread acceptance of the self-reliant community model as a
suitable tool that empowers local communities to sustainably ensure ongoing
implementation of their projects and to effectively reach out to poor and vulnerable
groups, it is still being questioned (Mansuri, 2013; Nkonya et al., 2012; McCommon,
Warner & Yohalem, 1990). Empirical evidence on the potential of community-
managed projects to continuously meet their purpose over the long term remains
mixed (Labonne & Chase, 2011). Among interesting questions capturing the attention

80

of researchers is the sustainability of donor-supported community projects (Olayide et
al., 2013; Njoh, 2011; Mansuri and Rao, 2004). For instance, according to Bado
(2012) and Schweitzer & Mihelcic (2012) projects managed by communities are more
likely to be sustainable in terms of maintenance than those managed by State agents.
Similarly, Njoh (2011) observes that access to safe drinking water increases
for poor and vulnerable people in community-managed more than in state-driven
projects. Conversely, community-driven projects that lack continuous external
technical, financial and institutional support are not sustainable (Sally et al., 2013;
Nkonya et al., 2012; Grieve & Sherry, 2012; Mertens et al., 2000). This chapter
throws more light on the extent to which the socio-cultural issues, community
management deficiencies and environmental constraints undermine the sustainability
of community-managed projects in the context of the North West Region of
Cameroon. Although views regarding the challenges facing projects managed by the
rural communities in developing countries particularly sub-Saharan Africa remain
conflicting; existing literature does acknowledge poor management as the main cause
of low levels of sustainability in community-driven projects, even though poor
management at grassroots level is largely a consequence of community deficiencies
(Moritz, 2008; Harvey and Reed, 2007; Richards, Bah & Vincent, 2004).
Literature reveals the lack of ongoing support from an overseeing institution to
motivate and monitor participatory planning; weak capacity building and specialist
technical assistance; inadequate coordination of local resources; poor accountability;
and environmental constraints associated with topography and climate change as
prerequisites for the sustainability of projects that are community-managed. Previous
studies acknowledged that community-managed projects continue to fail, despite
better understanding of their challenges and efforts made to strengthen community

81

management capabilities (Kanayo et al., 2012; Labonne and Chase, 2011; Fonjong et
al., 2004). Hence, this thesis reviewed a wide range of literature sources
(sustainability, management and corporate governance) in order to uncover the
underlying factors behind the dwindling sustainability of projects that are community-
managed. On the basis of this, a framework was developed that might be used to
enhance the sustainability of community-managed project in the North West Region
of Cameroon.

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Chapter 3: Theoretical and Conceptual Framework
Introduction
A number of concepts, theories and models have been examined to show their
relevance in the sustainable management of community projects, on which this study
focuses (Figure 3.1). These concepts and theories, in conjunction with the review of
literature, facilitated the mapping out of the variables embedded in the research topic,
research questions and objectives for effective data collection. This chapter is the
continuation of the literature review chapter and it is built on 2 theories, 3 concepts, 2
models and 2 frameworks. It contains an introduction, seven sections which are
further broken down into sub-sections and a conclusion.
Figure: 3.1: Outline of the conceptual and theoretical framework

Source: Author‟s conception, 2015
Conceptual and
theoretical
framework
Introduction
Objective of chapter
Structure of chapter
Theory of sustainability
Community management theory

Community demand-driven
management model
Conceptual framework
Socio-cultural concepts

Stakeholder concept
Community management model

Community-managed
governance model

Appropriate institutional
support framework

Concept of community

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The introduction focuses on the rationale for examining the conceptual and theoretical
framework separately from the literature review, and on how the chapter is divided.
Section 3.1 focuses on the theory of sustainability with emphasis on how it has been
applied across other disciplines. In section 3.2, the theory of community management
is reviewed as a composite concept made up of two words: community and
management. Section 3.3 handles the appropriate institutional support framework.
The concept of stakeholder and its multi-dimensional character is presented in section
3.4. In section 3.5, the model of community-driven governance in projects is
discussed. The demand-driven community management model is presented in section
3.6. Section 3.7 dwells on the conceptual framework for this study.
3.1: Theory of Sustainability
With the passage of time the concept of sustainability has acquired substantial load
and diverse applications (Kuzdas, Yglesias & Warner, 2013; Harmancioglu, Barbaros
& Cetinkaya, 2013). It has undertaken a journey that started with deliberations about
the environment and development, then passed through political propaganda (Lynch,
2012; Kiss, 2011) and ended as a strategic tool for sports development and
management studies (Bañon et al., 2011; Linsey, 2008). Sustainability was given its
theoretical formulation by the Brundtland Commission in 1987 (Kiss, 2011). This
concept was later rejuvenated by the 1992 Rio de Janeiro World Summit on
Environment and Development (Wiens, 2013). This summit in its Agenda 21
officially states the new outlook towards development and ecological resources
management, namely that the environment and development should be managed by an
integrated approach in order to guarantee sustainability (Harmancioglu et al., 2013).
Section 8 of the Summit‟s Agenda emphasizes that sustainability must be achieved in

84

making decisions for overall development and environmental management at local,
national and international levels.
Yet before the Brundtland definition in 1978, the Oxford English Dictionary
(1973) literally defined sustainability as the ability to keep or maintain at the proper
standard. However, sustainability according to the World Conference on Environment
and Development (1987) refers to the ability to meet the needs of the present without
compromising the ability of future generations to meet their own needs. This
definition encompasses both the development and the environmental dimensions of
sustainability. In a more refined way, Hodgkin (1994) defined sustainability as the
ability of a development project to maintain or expand a flow of benefits at a specified
level for a long period after project inputs have ceased. Sara and Katz (1997) put
forward a simpler definition of sustainability: as the ability to provide an acceptable
level of services throughout the design and implementation periods of the project
lifespan. In very few words, Abrams, Palmer and Hart (1998) state that sustainability
is whether or not something continues to work over time. Webster et al. (1999) define
sustainability of a project as the ability of such project to function continuously
keeping physical and non-physical components of the project active, and the ability of
the project to continue to benefit the project end-users after external support is
stopped.
Since the Rio Summit, sustainability has been a widely popular concept in
environmental resources management and development. Sustainability means a long-
term instead of a short-term perspective in environmental assessment and
development. Along this line, Kuzdas et al. (2013) referring to the Brundtland
conference of 1987, stated that sustainability as a concept encompasses three main
perspectives of equal significance, namely the environmental, economic and socio-

85

political perspectives (Figure 3.3). This concept is currently being applied in many
fields, especially in policy, planning, marketing, management and business strategy as
well as development fields (Bateh et al., 2013; Keitumetse, 2011).
In fact, sustainability is a philosophical concept and thus difficult to measure.
Yet there is need to describe it in rather precise terms to assess its relevance to the
management of community projects in the context of the North West Region. It is not
a fixed or constant goal but is time- and space-related and often depends on current
knowledge and goals (Bond, Morrison-Saunders & Pope, 2012; Carvalho et al., 2009;
Marshall & Toffel, 2005). Goeminne & Paredis (2010) evaluating the concept of
ecological debt noted that many sustainability criteria have been designed, based on
quantifiable measures, without overlooking the inevitable immeasurable aspects of
sustainable management. It is due to this difficulty that some studies have attempted
to conceptualize sustainability in a more simplistic way. For example, Harmancioglu
et al. (2013) are among the researchers who conceive sustainability from the
economic, social and environmental dimensions (Figure 3.2).
Figure 3.2: A Narrow Conceptualization of Sustainability

Source: Inspired by Rio conference report, 1992 and Harmancioglu et al., 2013
Sustainability
Environmental
Economic
Social
Equity: Is there equal access and
benefit sharing by all community
members?
Compatibility: how adaptive is the
project to the environment? Is the
project in harmony with its
environment?
Efficiency: Is the project self-sufficient
in terms of cost recovery? Or are the
project users willing to pay for ongoing
operations?
Concept Dimension
s
Indicators

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Drawing from the above opinions on the concept of sustainability as well as in
Agenda 21 of the Rio de Janeiro World Summit on Environment and Development, it
appears that sustainability is fundamentally considered to have three major
dimensions: environmental, economic and social. Kuzdos et al. (2014) and
Harmancioglu et al. (2013) state that any assessment of sustainability would be
premature if it does not address all these three facets. This implies that decision-
making on community project management must seek sustainability in the three
dimensions; namely, economic (efficiency), social (equity) and environmental
(compatibility). A recently added dimension to the three main traditional pillars of
sustainability is that which covers institutions (Aksorn & Charoenngam, 2015;
Harvey and Reed, 2007). The pillars of sustainability have also been described in the
sustainable management of local schemes as the prism of sustainability by Hansmann,
Mieg & Frischknecht (2012).
Recently, the effects of climate change on human livelihoods have triggered
environmentalists often to pin sustainability to the notions of renewability, resilience
and recoverability. Renewability is referred to as the ease with which ecological
resources can be replaced, so that sustainability is achieved by restricting the level of
use to something at or below the rate of replacement (Kuzdos et al., 2014). Resilience
is described as the ability to withstand stress without long-term or irreversible
damage, and sustainability is achieved by restraining use to a level below that which
exceeds the system‟s resilience (Lynch, 2011; Aslam and Collins, 2010). According
to Hunter (2013), recoverability is an aspect of sustainability which accepts that
detrimental impacts may take place, but concentrates on the rate or frequency of
impact in relation to the inherent rate of recovery.

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The complexity of the concept of sustainability is depicted in the debate
surrounding its measurable criteria. More than two decades after the introduction of
the concept of sustainability during the Brundtland Conference (1987), attempts to
devise universal objective criteria to measure sustainability have proven very difficult.
According to the American Society of Civil Engineers Task Committee on
Sustainability Criteria, Loucks (1997) and Gladwell (1999) cited by Harmancioglu et
al. (2013) had attempted to define relative levels of water supply sustainability using a
combination of measurable criteria such as reliability, resilience and vulnerability. In
another perspective Kuzdos et al. (2014) studied sustainability using three criteria,
namely reversibility, risk and equity in the context of water governance regimes in
Costa Rica. Similarly, De Carvalho et al. (2009) designed a Sustainability Index for
integrated water management using a prism to explain what constitutes sustainability.
They identified four main dimensions in the prism: social, economic, environmental,
political and institutional (Figure 3.3)

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Figure 3.3: Broad Conceptualization of Sustainability

Source: Compiled from the sustainability chain propounded by De Carvalho et al. (2009)
From Figure 3.4 above, De Carvalho et al. (2009) developed a more detailed
Sustainability Index using 5 key components of sustainability: the socio-cultural
component relates to social fairness and equitable distribution; the economic
component relates to economically sound principles such as economic growth and
cost returns; the environmental component focuses on the protection of the
environment and preservation of ecology; the political component means continued
support and international stewardship; and finally, the institutional component means
sustained capacity and technological progress. Another line of conceptualizing
sustainability is that of Carter (1999) called the Sustainability Chain. They suggested
motivation, maintenance, cost recovery and continuing support as critical steps to
sustainable implementation of projects managed by the local communities.
However, among the critics of sustainability criteria are Lindsey (2008) and
Bagheri and Hjorth (2007) who argued that the use of measurement for sustainability
Variables
Social fairness and equitable
distribution
Dimensions
Implies financially sound principles
and cost-returns
Concept
Means continuous support and
international stewardship
Includes environmental protection
and preservation of ecology Sustainability
Socio-cultural
Economic
Environmental
Political
Institutional Comprises sustained capacity and
strengthening of local structures

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does not make sense; rather, efforts should be made to look for the process indicators
to monitor systems for sustainable management. As of now, very little effort has been
expended to understand the dwindling sustainability of projects that are community-
managed, which arguably require the most attention but at present are the most
marginalized types of projects (Sally et al., 2013; Harvey and Reed, 2007). Existing
literature seems to suggest that the limited sustainability of projects managed by the
local communities is as a result of poor community management practices. This leads
us to the theory of community management, a theory associated with community-
managed projects on which this study focuses.
3.2 Community Management Theory
Community Management (CM) has become a major tool in the design of rural
development projects throughout the developing world. The concept of community
management has evolved over the past five decades from paternalistic programmes
for obtaining free labour to those that allow and encourage community control
(Rondinelli, 1991; Sally, 2013). From the early years of the 1960s, most basic
grassroots projects were carried out by State agencies with very slight grassroots
involvement. During this time, most national and international assistance agencies
understood participation to be limited to voluntary or low-paid, unskilled village
labour in the ongoing implementation of grassroots schemes. During the late 1970s
and early 1980s, the concept of local participation in the management of the
provisioning of basic projects expanded to include consultation with community
residents about some aspects of design, and training local caretakers to ensure the
monitoring and maintenance (Harvey and Reed, 2007).

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In the 1990s, the concept evolved further to imply shifting ownership and
responsibility for funding and managing basic schemes to grassroots communities
(Fonjong et al., 2004). It is at this phase that initiatives for promoting community
management went beyond eliciting the participation of a few local village elders in
basic projects design and implementation by the State (Rondinelli, 1991). Much of the
project management is now transferred to community groups where control over the
operation, maintenance and use of the projects are been accounted for by the
community-based groups (Korten, 1986; McCommon et aI., 1990). This model of
community management implies a different set of relationships between local
communities and the government (Figure 3.5).
Figure 3.5: Evolution of Community Management Model

Source: Adapted from Rondinelli (1991)

This means that the Government agents must play a facilitating role in
community management rather than being perceived as providers and funders of the
delivery of community projects. Thus obstacles to community management could be
mitigated if the central Governments provide training and management support to
Era
-Characterised by voluntary or low-paid,
unskilled village labour in the ongoing
implementation of grassroots schemes
mes
Paternalistic
paradigm
-Local residents do some aspects of
design and local caretakers trained to
ensure the monitoring and maintenance
Participatory
paradigm
From the
1960s
1970s and
1980s
Extent of local
engagement
Community
management
1990s to
present
-Ownership and responsibility for
funding and managing basic schemes
are handed to grassroots communities
Management
paradigm

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community-development organizations, and help with the technical aspects of project
rehabilitation and expansion (Abiona and Bello, 2013). However, empirical evidence
on State-led effort to use central institutions to achieve and promote sustainable
management of locally-based projects remains mixed. Studies have questioned the
State-led (top-down) approach to management where the central government is
viewed as the fundamental stakeholder in the management of national and local
schemes.
According to Ndiaye (1999) and Fonjong et al. (2004), State-led management
is justified on grounds that it enables the government to fulfil its redistributive
function, which is essential to support communities with weak tax bases and
communities that lack basic skills and resources (Sally, 2013; Leonard & Marshall,
1982). On the other hand, two positions are used to elucidate states‟ inefficiency and
failures to use central institutions to manage community-based projects. Firstly, Njoh
(2011) and Bates (1981) held that politicians and bureaucrats often take advantage of
the state resources to promote their own interests and maximize their own welfare
rather than that of the grassroots people. Secondly, Alasah (2011) argued that
managers in the State-led approach to management usually tend to maintain master-
client relationships and often tend to owe loyalties to their ethnic groups and families
rather than to the entire community population. It can be deduced from the above
arguments that the fruitlessness of the State-driven development approach and the
need to alleviate local over-dependence on external support triggered the transfer of
project management from the State agents to the grassroots communities.
The rationale behind the adoption of community management is grounded in
the assumptions that it has the potential to allocate local resources equitably, reduce
corruption and misuse of resources, and raise the willingness of grassroots to pay for

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community services (Sally et al., 2013; Armonios, 2012; Farniyeh & Theodora,
2010). When community management is effective it leads to an increase in the
motivation of local residents towards maintaining their community projects. In
addition, Harvey and Reed (2007) upheld that effective community management
reduces the costs of implementing local projects and enhances their operations and
expansion. Besides, Ferniyeh and Theodora (2010) opine that the concept of
community management fundamentally provides graasroots members with the
opportunity not just to check breakdowns but to make repairs that they can execute
more sustainably than government officials.
Moreover, community management was advanced to allow grassroots
community-based population to be able to take more expeditious action on project
rehabilitation and extension, and to build community skills not only for basic
maintenance activities but also for initiating and executing other types of community
schemes (Mbih et al., 2014; John, 2011, Fochingong, 2003; Rondinelli, 1991).
According to Labonne & Chase (2011), community management is a viable strategy
that allows grassroots populations to unveil their basic needs much more accurately
than national and municipal authorities. Similarly, Schulenkorf (2012) and Mansuri &
Rao (2004) put forward the view that community management has ripple effects in
promoting inclusiveness and good governance within poor communities.
Despite the concept of community management being justified by its potential
to design projects that are sustainable and more responsive to local priorities
(Cicognani et al., 2011; Harvey & Reed, 2007) and its ability to empower grassroots
communities to manage and govern their own projects and more effectively target
poor and vulnerable groups (Labonne & Chase, 2011) this assertion remains mixed
among researchers. Harvey & Reed (2007) questioned the ability of community-

93

driven management to enhance the sustainability of grassroots projects in the
developing countries. They argued that community participation is a prerequisite for
project sustainability while community management is not. The question that then
emerges is: what is community participation?
Previous studies reveal that the concept of participation in most cases is
usually misunderstood and used interchangeably with community management and
has become an ambiguous word in the development literature. For instance, it is used
to mean active involvement in decision-making and design, and community
contributions either materially, financially or intellectually. It has also been used to
imply representation of community diversity, and the community taking on ownership
and responsibility of the project or having an authority over the decision-making
process (Sally et al., 2013; Zone et al., 2013; Virgil, 2010; Kaliba 2002; Ndiaye,
1999; Yacoob and Walker 1991). However, this concept of community management
is often misunderstood and used interchangeably with community participation.
Community participation is a distinct concept from community management because
projects that are under the management of a community can be implemented without
effective community participation, and conversely, effective community participation
mechanisms can be applied in projects that are not community-managed (Sally et al.,
2013).
Harvey and Reed (2007) in their critique of the concept of community
management observed a fallacious assumption by proponents of the concept that
community management equals greater accountability and responsibility. According
to Sally et al. (2013) the capacity of community management to ensure accountability
depends actually on the community governing institutions in place and the trust locals
have for them. This implies that community participation is a necessary condition for

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community-managed schemes to be sustainable. Lesbirel (2011) argues that the
literature on community management tends to conceive of communities as equitable
social structures. Given that community management is a composite concept
comprising community and management, it becomes necessary to clearly articulate
community as one of the variables in the conceptual framework and give its relevance
and meaning within the sustainable management of community projects in the North
West Region of Cameroon.
3.2.1 Concept of Community
Community is a familiar word; everyone uses it. Yet the definition of this concept
varies greatly. For example, Psychologists conceive of it as a group formed among
members whose solidarity or sense of collectivism is built around interest-based
organizations and institutions which they create to fulfil their needs (Ginige, 2010;
Jones and Wright, 1987). For Biologists, community refers to a group of organisms
sharing a given geographic space or a particular natural environment (Fernback, 2007;
Ricklef, 1999). According to Sociologists, community implies a group of people who
interact with one another and have common values within a shared geographical
location at local, regional, national or global scales (Lesbirel, 2011; Dogbe, 1980).
Economists conceive of a community in terms of the specialization of
consumption and production markets as well as division of labour and mutual
exchanges (Cutter et al., 2014; Shaffer et al., 2004). From the position of political
scientists, community is conceived of in terms of power and legitimate authority to
make binding decisions for a particular geographical location (Lesbirel, 2011; Clark,
1973). According to Flint (2010) and Andrea et al. (2008) community is often
confused with words like mutual expectation, shared history, values, norms and

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patterns of status differentials. It is, of course, none of these things per se. It is
difficult, however, to specify exactly what community is. Social scientists, researchers
and policy makers themselves disagree on the proper definition of community.
Community is derived from the Latin word communitas, meaning together‟s gift
(Cox, 2008; Edward, 1970). Although the concept of community management
appears to be more recent, its usage transcends modern times. The usage of
community is quite ambiguous due to its multi-dimensional character as
conceptualized by different scholars.
The ambiguity associated with this concept stems from the fact that it is
defined in a myriad of ways and often it assumes homogeneity. Some argue that key
definitions of the concept of community are so abstract that they are empirically
vacuous, vague or even meaningless (Lesberil, 2011; Plant, 1978). The assumption of
homogeneity in the definition of community is quite misleading, particularly when we
consider that there are sub-cultural groups in today‟s communities. Turner (1996)
argues that this concept embeds a wide range of socio-economic varieties. In reality
community requires an initial assumption of differing interests among actors
particularly when the population is heterogeneous.
Despite the differing views, Lesberil (2011) propounded that the concept of
community can be conceptualized into four main categories, namely administrative,
spatial, social/ecological and political (Figure 3.6). The existing literature on the
concept of community seems to suggest that it is commonly used to relate to a
collection of people living in close proximity with one another in a rural or an urban
area. Even though community has been perceived as a situation where a collection of
people are living in close proximity to one another in a village or town as a combined
spatio-administrative conceptualization, political theorists attribute deeper

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implications and assert that the social and political boundaries of a community can
always transcend those geographical and administrative parameters (Lesberil, 2011;
Ricklef, 2008; Heywood, 2004).
Figure 3.6: Conceptual Variability of Community

Source: Adapted from literature on the concept of community, 2015
According to Heywood (2004) spatial communities imply a collection of
people in a given geographic location. They can vary from a small neighbourhood to
wider areas such as a parish, village or town that share common topographical
features such as hills, rivers, lakes, forests and mountains. This implies that a spatial
community could include a group of people occupying a mountainous or hilly area.
The concept of community can still be pinned down to a regional level which might
constitute a range of spatial local communities. For instance, within the Grassland
region of Cameroon, the North West Region is a geographically defined community,
comprising many communities found adjacent to it. Therefore the word community
can be applied to national, international and even regional groupings such as the Asia-
Pacific region, Commonwealth, European Economic Community, or even the Earth as
a whole like the United Nations community (Lesberil, 2011).
Spatial/
Geographical
Political
Concept of
community
Social/Ecological
Administrative

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Social and ecological communities according to standard et al. (1999) refer to
groups of interacting humans or organisms that share a social or natural space. This
implies that they may or may not be confined to spatial and administrative boundaries.
Lesberil (2011) affirms that the social and ecological communities are not bound by
geography or legal authority, but rather they are bound by interest and even identity.
People in such communities tend to share some characteristics in common other than
place or jurisdictional boundaries and therefore cut across those boundaries (Kwashie,
2007; Mullender, 2008). According to Liam (2001) and Standrad et al. (1999) the
social dimension of community can be sub-divided into occupational, ethnic,
religious, gender, regional, electoral and virtual communities. This implies that
common interests within communities might forge identity and a sense of attachment
(Phoochinda, 2014; Berger, 1988).
Ecologically, community is equally a contested concept in natural sciences.
For instance, some do conceive of ecological communities as organisms living in
specific habitats that host species which have common biological requirements such
as soil type and temperature (Kearney and Zuber-Skerrit, 2012; Fennema, 2004) while
others view ecological communities as well organized, with varied species
inextricably and complexly linked to one another and to a wider physical milieu
(Lyman, 2008; Hill, 2005). The third conceptual dimension of community is
administrative. This dimension often, but not always, overlaps with the spatial
conception of community. According to Lesberil (2011) administratively defined
communities differ from spatially defined ones in that it is the jurisdiction, rather than
geography, even though the two may overlap, that determine boundaries. The author
described a jurisdictional boundary as a geographical area over which a government
body has the legal right to exercise authority. Typical examples of administrative

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communities comprise the village, town or city (Alger et al., 2007; Fonchingong and
Ngwa, 2005; Lamm, 2001)
The political dimension of community is based on the ability to get people to
do what they would normally not do (Lesberil, 2011; Fennema, 2004). Marquardt and
Russell (2007) conceive of the political community as not only the governing
institutions but also as other interests which make demands on the political system.
This implies that the political dimension of a community is different from the
economic, social, ecological and administrative dimensions in that its boundaries are
determined by the ability to get others to do what they would normally not do.
The complexity in the usage of community has compelled some researchers to
suggest that communities should be conceived of in terms of vertical and horizontal
(Fremeaux, 2005; Parker, 2004). Where the vertical dimension of communities refers
to communities within other communities, such as a regional government broader
grouping of local administrative units, national government has authority over a given
population living in a given territory of a country or international institutions that may
exist in a variety of forms such as the European Union (Mcmillan, 2011; Shields and
Seltzer, 1997). The horizontal dimension of communities is conceived of in terms of
either economic, ethnic, moral, gender, electoral or virtual communities (Cox, 2008;
Totikidis et al., 2005), at different levels of government and hence overlapping
(Lesberil, 2011; Nowell and Boyd, 2014). Having critically reviewed literature on the
conceptual usage of sustainability, community management and community, it
becomes easier to combine these concepts in order to articulate them within the
context of this study and hence, the concept of sustainable community management.

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3.2.2 Concept of Community-Managed Project
The concept of community-managed projects is quite elusive in the sense that it
assumes collective community participation, but in most cases in the North West
Region of Cameroon the ongoing management activities of projects are shouldered by
just part of the population while the entire community of residents enjoys the results
of the projects. For instance, the water project for the villages of Fujua-Fundong-
Mentang is enjoyed by all, but not all are contributing towards its ongoing
management. It was for this reason that Movuh (2013) questions the extent to which a
community-managed project offers local communities an opportunity to derive
livelihoods from such projects.
The underpinning philosophy of the concept of community project is founded
in what scholars termed „property owned in common‟ with its associated logic and
fallacy. The logic stems from the fact that being a project owned in common, each
individual or household has the right to utilize it while ensuring that every individual
or household equitably shares the cost of their common project. The fallacy in the
logic of commonly owned property lies in the failure to recognise the high quest of all
individuals or households to acquire more than their fair share of the project and to
pay less than their fair share of the total cost. In like manner, the Greek philosopher,
Aristotle, noted that what is common to the greatest number has the least care
bestowed upon it (Ostrom, 1990). Following the fallacy in the logic of property
owned in common, Garret Hardin (1968) stated that as population grows and greed
runs rampant, the commons collapses and ends in „the tragedy of the commons‟
(Enchaw, 2009; Hardin, 2006).

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3.2.2.1 Carrying Capacity and Tragedy of the Commons in CMPs
Like most widely used concepts, the definition of carrying capacity and the tragedy of
the commons have attracted the attention of a wide range of multi-disciplinary
scholars. The origin of the concept of carrying capacity lies in its use in the shipping
industry to describe freight capacity, and a recent review finds the first usage of the
concept in an 1845 report by the U.S. Secretary of State to the Senate (Sayre, 2007).
Nonetheless, the concept of carrying capacity usually refers to the biological carrying
capacity of a population level that can be supported for an organism, given the
quantity of food; habitat, water and other life infrastructure present (Ngwa, 2005).
In the developing world, particularly sub-Saharan Africa, the question of how
many humans a specific community-driven project could comfortably support seems
never to have arisen. Globally this particular question had been avoided until the early
1960s when Hardin (1977) put the situation succinctly in an essay entitled The
Tragedy of the Commons. This has been evident as local beliefs and practices are
threatened by efforts to carve out land for project construction or resources protection
in what are known as community projects without compensation to those who lost
their land or resources. It seems that the theory on which the commons problem is
based rests on the concept of carrying capacity, which so far has been assumed by
some scholars to be static. According to Hardin (1977), the carrying capacity of a
particular area is defined as the maximum number of a species that can be supported
indefinitely by a particular habitat, allowing for seasonal and random changes,
without degradation of the environment and without diminishing carrying capacity in
the future (Enchaw, 2009; Ngwa, 2005; Abbott et al., 2001). Garrett Hardin‟s The
Tragedy of the Commons has proven a useful concept for understanding how mankind
has come to be on the brink of numerous environmental catastrophes.

http://en.wikipedia.org/w/index.php?title=Freight_capacity&action=edit

http://en.wikipedia.org/wiki/Population

http://en.wikipedia.org/wiki/Organism

http://en.wikipedia.org/wiki/Habitat_%28ecology%29

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Despite the argument that community-managed projects have the potential to
increase transparency, accountability and efficient use of resources by involving
members in the decision-making processes of the project (Sally et al., 2013; Opare,
2011; Harvey and Reed, 2007), the ability of local communities to ensure the
sustainability of community-managed projects has been largely questioned in sub-
Saharan Africa (Anyang, 2013; John, 2011; Rugumanu, 2011). Some observers point
to the fact that effective stakeholder networking at the grassroots level is vital in
ensuring that community-managed projects satisfy the interests of all stakeholders
(Bakker, 2008; Longo and Mura, 2008).
3.3: Socio-cultural theories in community management
Contemporary social researchers have vested so much interest in the development of
theories and models that centre on the socio-cultural aspects of community-based
management in the developing countries (Jackson, 2013). Unfortunately, the
complementary role of these socio-cultural theories and models in community
management has received little attention due to the fact that local governments seldom
consider grassroots beliefs and norms as a panacea to sustainability loss (Keitumetse,
2014; Jackson, 2011; Grant & Thompson, 1997).
This implies that any attempt to sustainably manage community projects
independently of socio-cultural considerations is inadequate. In most societies that are
structured around large power differentials, such as feudal hamlets in Europe and
colonial possessions in Africa, Latin America and Asia, the lives of the populations
are centred on community-based natural resources (Hooker, 2009; Richins, 2009;
Armitage, 2005). According to Thakadu (2005) community-based management of
schemes and natural resource management depended on local knowledge and skills

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that were built up through extended historical experience, in what is described today
as resource inventory. The process of inventory usually started with hunters or forest-
product gatherers who were mostly women, long before the entire populations moved
to settle in the particular site (Enchaw, 2009; Gray et al., 2008; Abbot et al., 2001).
In the developing world including Cameroon, some of the most important
natural resources upon which the grassroots communities depend for survival are
good climate, plants and animals, caves, and forest compartments that served as
catchment areas, wetlands and fragile ecosystems (Keitumetse, 2011;
Busapathumrong, 2012). Such naturally endowed areas were not to be easily accessed
by community populations because they believed that such areas were inhabited by
the gods of the forest through whom the custodians of the local traditions
communicated with their ancestors or were used for totemism (Enchaw, 2009; Vecchi
and Brennan, 2009; Watson et al., 2002). The first step in managing such forest
compartments was to create a myth out of the area by claiming that it was the abode
of the gods of the forest. This myth created an aura of sacredness and permitted local
authorities and institutions to designate the area as a sacred forest or site (Jackson,
2004; Abbot et al., 2001; Mbenkum and Fisiy, 1992).
Depending on the differences of power and roles, as well as decision-making,
the Fon or the particular individual who discovered the spirits in the forest
compartment (shrine) could become the priest of such a shrine. This was the case with
the Oku Lake (kedzem-mawes) Sacred Forest area, the Lumutu Sacred Forest, Akua-
fichua Sacred Forest, Iwe-Awoi or Kongang Sacred Forest and Kovifem Sacred
Forest where the Fons of Oku, Kom and Nso respectively are the priests of the shrines
(Ako et al., 2010; Agrawal & Chhatre, 2006; Ngwa & Fonjong, 2002). Similarly,
other shrines such as Kimanen‟s forest, Tokembong‟s forest and Iti-Mukain have been

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named after those who when hunting were the first to discover the spirits living in
them. Based on the myth created, the priest in question elaborated complex norms for
the sustainable protection of the sacred forest, together with the animals found in it,
which were also considered to be sacred.
Such management norms included declaring the sacred forest out of bounds
for cultivation and encroachment was prohibited, reserving special days (ngokee,
nsamnin in Oku and ituh ibol, ituh iyzie in Kom) for the gods of the sacred forests. It
is believed that during these traditional off-days the gods of the sacred forests carried
out their own livelihood activities and local populations were prohibited from entering
and gathering forest products as the gods were not to be disturbed (Peterson et al.,
2010; Nkwi et al., 2003).
Another strategy in managing community-based natural resources or
vulnerable areas was the use of taboo that ensured sustainability through the
prohibition of people from killing sacred animals in and around shrines, such as
snakes and chameleons known as children of the shrines (wan Mawes or child of
Mawes). In order to check water pollution, the populations were prohibited from
urinating and defecating in streams. All the sacred forests and the plants and animals
in and around them were therefore protected in situ through the mystical and ritual
sanctions that were elaborated and were accompanied by a threat of an incapacitating
illness, leading to death or death itself if the offending party failed to subject himself
or herself to an expensive ritual cleansing process in order to appease the gods
(Enchaw, 2009; Hocker, 20009; Abbot et al., 2001).
Beside this form of surreptitious sanction that was at the individual level, there
were also communal sanctions meted out by the gods of the land that were related in

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part to the ethno-climatology of the local populations. The gods of the land in
community project areas used climatic disorders to express their wrath when the man-
nature relationship was ruptured through the violation of the norms set for natural
resource management. Too much rainfall over a prolonged period or drought that
caused paltry harvests were perceived as a wrath of the gods in one or all of the major
shrines (Porter-Bolland et al., 2012; Pandit & Bevilacqua, 2011; Maskey,
Gebremedhin & Dalton, 2006).
In order to appease the gods and to restore balance and harmony between man
and nature, the Fon and his subjects would go to the shrines, pour libations and carry
out other rituals. In line with the traditional socio-cultural concepts developed in order
to manage and sustain community-based natural resources, sacred forests, shrines and
the setting up of management norms such as traditional off-days and taboos were
often preferred (Ngwa, 2005, Watson et al., 2002). An understanding of how
grassroots communities utilize traditional taboos to effectively sustain their
environment could facilitate the sustainability of community-managed projects if
integrated in their management practices.
3.3.1: Concept of culture
The term culture is derived from a Latin word „colere‟, which means to tend to the
earth and grow, or cultivation and nurture (Van Den Steen, 2010; Boyd and
Richerson, 2005,). Today, this concept shares its etymology with a number of
interpretations (Schein, 1990). For instance, according to Van Den Steen (2010),
culture refers to the knowledge of a particular group of people, identified by
everything from language, religion, cuisine, social habits, music and arts (Foley,
2008). Similarly, Hofetede and Bond (1984) defined culture as a collective mental

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programming: implying that it is part of our conditioning that we share with other
members of our nation, region or group but not with members of other nations,
regions or groups. In addition, the Oxford Dictionary (2015) defines culture as a way
of life, particularly the general customs and beliefs of a particular group of people at a
particular time.
Although culture has been proven as an all-powerful and pervasive construct
of human existence its conceptualization remains contested (Schwartz, 2013; Schein,
2011; Hofstede & Bond, 1984). As a result, it is problematic to clearly define or
measure culture since different disciplines or practitioners adopt radically different
approaches to understanding culture (Minkrov & Hofstede, 2012; Bodenstedt, 1990).
All the three different above definitions reveal a humanistic view, implying that
culture as a concept remains essentially fluid and constantly in motion, making its
definition and understanding difficult. However, this study conceptualizes culture
from a micro dimension, as the way of life of grassroots people, who utilize
traditional taboos, prohibitions and local norms to sustainably govern their
communities‟ basic amenities.
3.4: Community Governance Model
Since the creation of the concept of open source community governance in 1998,
much academic research into community governance of projects has followed. Lynn
et al. (2000) defines open source community governance as the means of achieving
the direction, control and coordination of wholly or partially autonomous individuals
and organizations on behalf of the community development projects to which they
jointly contribute. However, this concept has received different definitions from

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researchers (Markus, 2007; O‟Mahony and West, 2006), thus giving the impression
that it was created to mean many things.
For instance, some refer to open source community as a type of software
license, an approach to development, a type of community and a type of business
model. But when the term is used to frame social phenomena its meaning often
becomes more elastic (Benford & Snow, 2000). Some theoretical grounding to the
principles that constitute community-managed governance was provided by
O‟Mahony (2007) in his study of open source software communities. The author
identified five features associated with the community-managed governance model,
namely decentralized decision-making, independence, pluralism, representation and
autonomous participation (Figure 3.7).
3.4.1: Decentralized Decision-Making
A community-managed governance model argues that if one group or organization
within the community holds all decision rights over the project management, then the
project will not be seen as community-managed. It suggests three levels of decision-
making that operate in community-managed projects: top level project decisions, sub-
project level decisions, and community wide decisions (O‟Mahony, 2007). A
community-wide decision is a decision on the process, organization or assets of the
community. This could include decisions as to whether to allow a commercial
organization the use of the community‟s image or trademarks, or decisions that affect
how the community as a whole may be represented to outsiders. This implies the
process of delegating authority to community members at large.

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Figure 3.7: The Principles of the Community-Managed Governance Model

Source: Compiled from O‟Mahony‟s open source community-managed governance model, 2007
3.4.2: Independence
This model assumes that an independent community management is one that does not
rely on any one organization for resources, but could be supported by a multitude of
agencies or sponsors, meaning that control over the community projects is
independent of any one sponsor but rests with the members of the community itself.
This implies that community governance is independent when decision-making at the
lowest levels is unencumbered by any single external controlling influence. A
community-managed governance system operates either on a voluntary basis or may
be paid, but decision-making on the project takes place independently from those not
having a stake.

Concept
-How contributors gain
access to the project‟s
decision-making structure.
Community
-managed
governance
Autonomous
Participation
Pluralism
Representation
Independence
Decentralized
decision-making
-New comer joining rate and
newcomer socialisation
opportunities
-Diversity of contributors in
terms of geography,
demography and function
-Ways in which those in
authority are accountable to
contributing members
-Degree to which members
can exercise voice on
community decision-making
structure

Variables Measurable indicators

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3.4.3: Representation
Howison (2007) postulated that because it is difficult to rest formal control of a
project in the hands of many, communities often find themselves needing to establish
some means of representing the interests of their members. O‟Mahony and West
(2006) found that the notion of community project governance in Apache, Gnome,
and Debian communities did not start with a representative democracy but moved to
one over time. They noted that when representatives are used in a community project,
their authority is usually limited to making decisions on behalf of the project as
opposed to earning authority over other members.
3.4.4: Pluralism
Another principle associated with the community-managed governance model is that
of pluralism. A pluralistic community, according to O‟Mahony (2007), is one that
allows multiple and perhaps competing points of view in pursuing a course of action.
It is assumed that by ensuring pluralism, community-managed projects would not
only prevent a dominant control group from forming, but they would encourage the
sustenance of a multilateral participant base.
3.4.5: Autonomous Participation
According to Lakhani and Wolf (2005) a community-managed governance model
enables potential contributors have the freedom to contribute on their own terms.
Participation in community projects is triggered by the opportunity to learn, solve
technical problems or improve their skills (Lakhani and Wolf, 2005; Dalle and Jullien,
2003). Having reviewed the model of community-managed governance, one finds that
its fundamental principle is that any governance model, whether formal or informal,

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should not impinge on members‟ freedom to contribute on the basis of their own
interests, motivations, and abilities (Howison, 2007).
Despite the wide recognition of the potential of the community-managed
governance model in enhancing the sustainability of projects at grassroots levels,
some critics have argued that it could be time and resource consuming especially
when there is no existing platform of coordination in the grassroots community
(Harvey and Reed, 2007; Jackson & Sulley, 2003). Again, it is argued that raising the
participation of the grassroots could cause deep conflicts within the community
particularly when not all groups are represented in the process (John, 2010; Buccus et
al., 2008; O‟Brien, 2007; Fonchingong and Ngwa, 2005). Finally, critics suggest that
with a large number of participants in the planning process of a project,
communication and information sharing among and between stakeholders become
ambiguous and troublesome (Nangoli et al., 2013; Robles-Murua et al., 2007).
3.5: The Concept of Stakeholder
This concept is associated with specific research question three, which seeks to
evaluate human resource challenges affecting the sustainability of community-
managed projects. With the passage of time the stakeholder concept has gained
widespread load and diverse applications (Freeman et al., 2010, Welch & Jackson,
2007). It has been widely used across different disciplines, notably in the social
science, management and business fields (Emerson et al., 2012; Proenca, 2003; Orts
and Struler, 2009). This concept owes its theoretical creation to the Stanford Research
Institute in 1963 (Verbeke & Tung, 2013; Scots & Lane, 2000). The concept was later
rejuvenated by Freeman (1984) as a group of people who can affect or can be affected
by the achievement of the organization’s objectives (Fraser, 2013; Scots, 2011). It has

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been argued that the stakeholder theory lacks clarity over who the stakeholders
actually are (Miles, 2012). In fact, Freeman‟s (1984) conceptualization of stakeholder
has been criticised on the basis that it is too wide as it considers everybody as
stakeholders in just every form (Freeman et al., 2010; Doloi, 2012).
In accordance with Friedman and Miles (2006), the concept of stakeholder has
been indiscriminately used and therefore there is need to standardize its usage.
Stakeholder usage cuts across various disciplines such as business, management,
governments, non-governmental organisations and media studies thus, making its
comprehension quite confusing (Freeman et al., 2010; Okoye, Egbuike and Meduoye,
2013). Despite the widespread usage of the stakeholder concept, most who employ it
neither define it nor provide any specific understanding of what a stakeholder actually
is (Mok et al., 2015; Emerson et al., 2012). Evidence shows that even in academic
circles, countless definitions of the word stakeholder have been put forward without
any of those suggested ever gaining consensus (Miller and Oliver, 2015; Bonnafous-
Boucher & Procher, 2010; Sternberg, 2006), and hence there seems to be no single,
definitive and generally accepted definition (Emerson et al., 2012; Beach, 2008)
(Table. 3.1).

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Table 3.1: Conceptual Definitions of Stakeholder
Author/Year Summary of definition
Freeman (1984) … the relationship between stakeholder and the company
Starik (1994) … the position of the stakeholder towards the company
Freeman & Reed (1983) … the company as dependent upon the stakeholders
Clarkson (1994, 1995) …the stakeholder as running some kind of risk
… the stakeholder as having an interest in the company
Hill & Jones (1992) … the company and the stakeholder as engaged in contractual
relations
Carroll (1993, 1989 ) … the company as holding power over the stakeholder
… the stakeholder having a moral right over the company
Wicks et al.(1994) … the company and stakeholder as mutually dependent
Source: Adapted from stakeholder literature, 2015
From the above definitions, it is noted that although each researcher defines
the concept of stakeholder differently, they do to a lesser or greater extent reflect the
fundamental principle that each company is supposed to take into account the needs,
interests and influences of peoples and groups who either impact on or may be
impacted by its policies and operations (Emerson et al., 2012; Frederick et al., 1992).
For instance, Mitchell et al. (1997) conceived of stakeholders as „any human agency‟
whereas Starik (1994) referred to stakeholders as „any naturally occurring entities‟.
Crane et al. (2004) conceptualized stakeholders as „citizens‟ while Macmillan and
Jones (1986) used stakeholders mean a „coalition of people‟. The Stanford Research
Institute (1963) had initially used the word stakeholders to mean „groups‟. For
Donaldson and Preston (1995) stakeholders are individuals who influence or are
influenced by the organization‟s objectives. Hendry (2001), on the other hand,
described stakeholders as moral actors. According to Orts & Strudler (2002)
stakeholders are participants in an organization. Mattingly (2004) uses the word

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stakeholders to imply socio-political actors whereas Philips (1997) conceived of
stakeholders as voluntary members of a cooperative scheme.
Clarkson (1995) noted that the concept of stakeholder comprises three
fundamental dimensions: the organization, the other actors and the nature of the
company-actor relationships. Recently, Norland and Philips (2010) conceptualized
stakeholders as shareholders and societal stakeholders. They classified shareholders as
internal (executives, employees and trade unions) or external (such as customers,
suppliers, banks, investors and competitors), whereas societal stakeholders include
local communities, activist groups, civic associations, non-governmental
organizations, media, governments and international institutions (Thomspson, 2011;
Philips, 2003). Despite the criticisms levied on the usage of the stakeholder concept
across different fields, the context in which it is being used needs to be taken into
consideration (Miller & Oliver, 2015; Gray, 1996; Mahon, 2002). It implies that
anyone looking to develop a schema of weighing stakeholder needs to narrow down
the range of stakeholder to focus on the critical ones on which the organization
depends for survival. In this context (Figure 3.8), critical stakeholders on which
community projects in the North West Region of Cameroon depend for survival
include community-based organizations, local authorities and non-governmental
organizations (Njoh, 2011; Fonjong, Ngwa & Fonchingong, 2006).

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Figure 3.8: Conceptualizing key stakeholders in the management of projects in the
NWRC

Source: Pilot fieldwork, 2014
Despite the countless definitions and differing emphases, which might result
in distorted conceptual interpretations of the stakeholder concept, a good number of
researchers do adopt the definition idealized by Freeman (1984) as individuals or
groups that may affect or be affected by the scope of organizational gaols. The
problem with this conception is that a person, an informal group, an organization or
an institution may all be considered a stakeholder.
3.6: The Demand-Driven Model
This model is closely associated with research question four which seeks to
investigate common funding challenges affecting the sustainability of community-
managed projects in the North West Region of Cameroon. This model assumes that
cost-recovery becomes possible when participation from project beneficiaries is
encouraged at the beginning; involving every household member in technological
Concept
State agents
Project end-
users
Project
management
Variables Dimensions
-Plan International
-HEVELTAS
-SATA
-Birdlife International
-Local administrators
-Municipal councils
– SNEC/CAMWATER

-Project beneficiaries
-VDAs/CIGs
-Fons and Ardos
Indicators
-Local project technicians
-project board members
-project committee
members
External
Internal
Key stakeholders
in community-
managed projects
in the NWRC
NGOs

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choice and institutional arrangements, giving women a bigger role in decision-
making, and making project beneficiaries pay for all of the operation and
maintenance. Cost-recovery is sometimes difficult in projects controlled by
communities due to villagers‟ mentality and their continuous attachment to the
traditional free use of schemes (Whittington et al., 2009; Evans, 1992). It holds that
long-term financial self-sufficiency and reduced dependence on external funds could
be achieved through demand-driven solutions whereby user fees are imposed in a
careful pricing and billing way.
Similarly, Carter (1999) argued that making project beneficiaries understand
the potential benefits of improved quality, quantity, and more convenient and reliable
project outcome would encourage payment and cost-recovery. A study conducted by
Whittington et al. (2009) on community management of rural water supply projects in
Peru, Bolivia and Ghana found that even though the projects were in poor financial
shape, they were in working order due to the fact that they were realized on the
demand-driven principle. Similarly, Harvey & Reed (2007) argue that community-
managed projects in the developing world are kept functioning by access to spares,
technical expertise and the community‟s own cost-recovery efforts. However, the
willingness to pay for community service provisioning depends on factors that at
times are beyond the control of poor and vulnerable communities (Figure 3.9).

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Figure 3.9: Determinants of the Willingness to Pay for User Fees in
Community-Managed Projects

Source: Adapted from Evan (1992) and Whittington et al. (2009)
The demand-driven model attributes success in community-managed schemes
to financial self-sufficiency, which will allow communities to carry out their own
system rehabilitation and expansion. This model argues that the sustainability of
community-managed projects is influenced by the willingness of project end-users to
pay for user fees. This implies that non-governmental organizations should act as a
catalyst and provide post-project management support rather than act as a dispenser of
capital subsidies that may undermine community-based cost-recovery efforts, and
therefore should work to foster demand-driven management at grassroots
(Whittington et al., 2009).
3.7: Conceptual Framework
Although community-managed projects have been widely acknowledged by both the
international and national development agencies as the most viable way of uplifting
community wellbeing and conserving endemic species as well as mitigating the effect
of climate change at the micro level (Tran et al., 2015; Buchenrieder & Balgah, 2013;
-Perceived benefits
-Standard of service
-Price
-Income level
-Opportunity cost of
time
-Reputation of
service agency
-Community cohesion
-Socio-cultural factors
-Perceived ownership
and responsibility
-Institutional
framework
-Transparency of
financial management

Determinants
of the
willingness of
project end-
users to pay
for users’ fees
in CMPs

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Rantala et al., 2012; Njoh, 2011; Alam and Collins, 2010; Chuku, 2010; Fonjong et
al., 2004), the mechanisms for ensuring the sustainable management of these projects
at grassroots level are frequently overlooked (Ameha et al., 2014; Turner, 2009), and
yet they play a significant, often pivotal role in the sustainability of projects that rely
on community self-reliant efforts (Nkonya et al., 2012; Kumasi et al., 2010). In this
light Sally et al. (2013) assessed the impact of urbanisation on the effectiveness of the
community-driven water supply scheme in the South West Region of Cameroon
found that stranger-native divide and project committee reliance on the municipal
council for decision-making threaten the long-term effective implementation of the
scheme. Similarly, Njoh (2011) identified a real sense of ownership among the
beneficiary population as critical for the sustainability of projects managed by the
local communities.
However, the sustainability of community-managed projects in terms of
targeting poor and vulnerable groups in developing countries remains a debatable
issue (Nkonya et al., 2012; Harvey & Reed, 2007). Some studies argue that
community-driven projects have the potential to better meet the needs of grassroots
people and provide services that better match with local concerns, culture and
environment than externally-driven projects (Abiona and Bello, 2013; Dash et al.,
2011; John, 2011). Despite previous studies that have appraised the sustainable
management of community projects and their potential to drive local communities out
of misery and neglect (Ako et al., 2012; Fonchingong et al., 2009), there were only a
few notable exceptions (Akei; 2015; Sally et al., 2013; Harvey & Reed, 2007;
Fonjong et al., 2004) who attempted to evaluate the impact of community-driven
schemes on local communities and factors affecting the effective running of these
projects. As of now, there has been limited attempt made to gain a holistic

117

understanding of underlying factors behind the dwindling sustainability of
community-managed projects in Cameroon, particularly the North West Region
where this study focuses.
Inductively seeking to understand why community-managed projects in the
region have had such limited sustainability has revealed that the non- incorporation of
the socio-cultural and anthropological background of project end-users and subjective
identification of stakeholders in community projects, among other factors directly
influence project end-users‟ real sense of ownership and responsibility over the
ongoing operations of projects in this region. This aligns with the view that whenever
people perceive local projects as being alien and not theirs, they will feel little or no
responsibility for their ongoing support (Crow, 2013; Njoh, 2011; Whittington et al.,
2009). The low sustainability levels of community projects in the developing world
usually arise when community project providers either make no effort to learn, or
simply disregard local realities and beneficiary preferences (Njoh, 2011; Alam and
Collins, 2010).
Similarly, Rondinelli (1991) had explored critical factors for sustainable
management of rural schemes and identified inter-organizational relationships among
national, community and local agents, use of suitable technology to observe, evaluate
and obtain feedback, adequate incentives and skills and resources available, as
important issues to guarantee the sustainability of community-managed projects
(Figure 3.10).

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Figure 3.10: Framework of Factors Affecting the Sustainable Management of
Community Projects

Source: Drawn from the frameworks of Njoh (2011) and Rondinelli (1991)
This model was developed and applied in the sustainable management of
water supply schemes in the developing countries by Rondinelli (1991) and was later
rejuvenated by Njoh (2011) in a study conducted on two community self-reliant water
supply projects, in Mpundu and Bonadikombo, South West Region of Cameroon. The
study concluded that citizens‟ sense of real or potential ownership and control over
the project were fundamental for sustainability. It seems that limited levels of
sustainability of community projects often result from weak involvement of
community members in their conception and planning phases.
On the basis of this framework on the factors influencing the sustainability of
projects that are community-managed, three conclusions can be drawn. Firstly, in
terms of a real sense of ownership the framework reveals that the willingness of
Independent Variables Dependent Variable
Sustainability
of
community-
managed
projects
Real sense of ownership
among project beneficiaries
Residents‟ involvement in
project planning and decision-
making process
Interest in the beneficiary
community
Population size
Inter-group conflicts
Influence of political elites
Independent variables
Adequate incentives
Sufficient skills and resources
Appropriate processes such as
procedures for consultation and
participation of local groups, and
sharing of responsibility
Appropriate technology
Inter-organizational relationships
among national, community and
local agents
Effective monitoring, evaluation
and feedback

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grassroots to become fully involved in any project‟s ongoing management depends on
whether the beneficiary population perceives such a project as truly theirs. Secondly,
it can be deduced from the framework that the size of a community has far-reaching
implications for the sustainable running of community-driven projects, especially
when it comes to raising resources either in kind or in cash to carry out ongoing
rehabilitations and expansion of the community-managed projects. Thirdly, an
important finding from the frameworks and theories discussed above is that the higher
the beneficiary involvement is in the planning and decision-making process for their
projects, the more sustainable such a project is likely to be. From these conclusions
outlined, active involvement of a community in the planning and decision-making
process is an important predictor of the sustainability of projects that are community-
managed.
Based on an extensive review of literature, frameworks and concepts related to
the sustainable management of community projects and data drawn from the field,
this study realizes that many studies have paid attention to understanding the link
between poor management and the sustainability of community-managed projects
(Figure 3.11). Nevertheless, the literature has revealed that the sustainability of
community-managed projects is not only riddled by poor management, but it is also
riddled by the false perception of indigenous communities as homogeneous areas of
social consensus while their internal diversity is ignored by project providers (Sally et
al., 2013; Alam and Collins, 2010; Harvey and Reed, 2007; Fonchingong, 2006).
However, previous studies tend to assume that the sustainability of community-
managed projects is guaranteed whenever the beneficiary population have a real or
potential sense of ownership and responsibility over the projects. Practically, even the

120

sense of ownership and control of local projects among end-users have been
influenced by other factors.
Therefore, the proposed conceptual framework developed on the basis of the
literature review and fieldwork proposes that if community-managed projects are to
be sustainable, the project end-users should perceive them as an integral part of their
lives. For this to happen the socio-cultural and anthropological aspects of the project
end-users should be incorporated into the entire frame of the project‟s management; a
careful and honest identification of stakeholders in community projects as well as an
increase in community governance capacity and environmentally friendly practices
are required (Figure 3.11).

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Figure 3.11: Developed Conceptual Framework for sustaining CMPs in the NWRC

Source: Author‟s conception, 2015
The framework opines that the sustainability of community-managed projects
depends on the extent to which the project end-users have a real sense of ownership
and responsibility over the project‟s ongoing operations. This designed framework
guided the researcher in answering the specific questions designed to understand: a)
To what extent does project providers‟ inadequate knowledge of the socio-cultural
background of project end-users affect the sustainability of community-managed
projects in the North West Region of Cameroon? b) What natural environmental
conditions prevail in the North West Region of Cameroon and how do they impact on
the sustainability of community-managed projects in the region? c) How do existing
Real sense of ownership and control
among end-users (Njoh, 2011)
Independent variables Dependent variable
Mechanisms
Research Propositions
Adequate incentives
(Rondinelli, 1991)
Population composition: native-
stranger divides (Sally et al., 2013)
Intra-community collaboration
(Alam and Collins, 2010)
Influence of political elite
(Fonchingong, 2009; Mansuri, 2004)
Effective cost-recovery strategies
(Harvey and Reed, 2007)
Sustaining for CMPs
Sustainability of
community-
managed projects
(CMPs)

The traditional beliefs and practices of
project end-users are incorporated into the
entire frame of community management
Careful and honest identification of
stakeholders in community projects

Increase in community governance capacity
and environmentally friendly practices

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technical challenges at grassroots level influence the sustainability of community-
managed projects in the North West Region of Cameroon? d) How do issues of
transparency, accountability, the role of the law and confidence affect the
sustainability of community-managed projects in the North West Region of
Cameroon? e) What are the funding challenges common in the North West Region of
Cameroon and how they do undermine the sustainability of community-managed
projects in the region?
In fact, the majority of previous studies particularly in the developing
countries have focused on the role of poor management in the dwindling sustainability
of community-managed projects (Simmons et al., 2011, Ako et al., 2010; Whittington
et al., 2009; Komives et al., 2008; Armstrong, 2000). Other studies have considered
the impact of population pressure and composition on the sustainability of
community-managed projects (Sally et al., 2013; Harvey and Reed, 2007; Elkington,
2006; Opare, 2007). In addition, the effects of climate change on projects that are
community-managed are evaluated both in the developed and the developing world
(Sánchez, 2015; Marks & Davis, 2012; Taylor, 2009; Lubell et al., 2002). Yet studies
in less developed countries, particularly in the NWRC, have often overlooked whether
there was any association between the subjective identification of stakeholders in
community projects, disregard for socio-cultural and political institutions, poorly
trained committee members, limited contacts between project providers and end-
users, and increasing temperatures and reducing amounts of rainfall which result in
greater incidence of bush fire and threaten the sustainability of community-managed
projects in the North West Region of Cameroon. On the basis of these gaps in the
literature, the conceptual framework was proposed on how community-managed
projects could be sustained (figure 3.11 above).

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3.8: Conclusion
Having examined theories, concepts and models associated with the research topic,
aim and objectives, their usage and application became easy and the choosing of an
appropriate research methodological approach for this study was likewise facilitated.
The lesson learnt from reviewing these concepts, theories and models clearly depicts
the fact that a theory, concept or model becomes more tenable when it survives
scientific assaults. Even within the same schools of thought, the same philosophical
underpinnings of a theory are seldom evident. These divergent views are indicative of
the fact that the sustainable implementation of community-managed projects depends
on a combination of factors which cut across socio-cultural, environmental, technical,
governance and economic dimensions.
The review of literature and concepts, theories and models reveals two
fundamental implications: that the community management model enables the
grassroots to have full ownership and responsibility over the ongoing implementation
of projects that are community-driven, and that with the advent of technology and due
to the desire of grassroots communities for improved services, a new model is needed
to ensure the sustainability of CMPs. This gap fashioned our thinking regarding the
sustainability of community-managed projects in the North West Region of
Cameroon, and we therefore drew from the sustainability factor models of Rodinelli
and Njoh to develop a conceptual framework for this study as shown in Figure 3.11
above.

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Chapter 4: Research Design and Methodology
Introduction
Despite the use of a myriad of efforts at both national and local levels to improve the
sustainability of community-managed projects in the NWRC, their sustainability
remains doubtful. The underlying factors behind the dwindling sustainability of
community-managed projects are what this study is seeking to investigate. In order to
carry out the study effectively, an appropriate research methodology is designed as a
mechanism to achieve the aim of the study. This chapter comprises an introduction,
six sections and a conclusion. The introduction focuses on major pronouncements
associated with the literature for this study and an outline of the main articulations of
the chapter. Section one dwells on literature that is related to the types of research
philosophies and their underpinning assumptions. It also puts forward the reasons for
the adopted philosophy. Influenced by the adopted philosophy, an inductive approach
is discussed in the second section of this chapter.
Section two focuses on the various research approaches, the conditions under
which each approach can be used, and the conceptualization of community-managed
projects. An exploratory multi-case study design which is adopted is discussed
alongside other research designs in the third section. Section four is dedicated to the
research strategies vis-à-vis the adopted strategy, which in the context of this study
are four community-managed project case studies. In this section an explanation of
why this study adopted a cultural approach and not a political approach is also
provided. Influenced by the adopted research strategy, a triangulated method of data
collection consisiting of semi-structured interviews, focus group discussions,
questionnaire, field observation and document reviews is discussed in section five.

125

This section also comprises the sample size, validity, reliability and variables as well
as ethical considerations. Finally, data analysis techniques are discussed in section six.
The presentation of the findings is undertaken both inferentially and non-inferentially
using graphs, charts, tables and other numerical forms. The layout of this chapter is
presented in Figure 4.1 below.

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Figure 4.1: Structure of the Methodology Chapter

Source: Author‟s conception, 2015
The credibility of a research depends on its philosophical choices since they
have the potential to influence the assumptions, arguments and interpretations of the
research (Bryman & Bell, 2013; Simons, 2009). This implies that the robustness of
Introduction
Research philosophies
Inductive and deductive lines of inquiry
Objective and structure of chapter
Adopted design
Exploratory, explanatory and descriptive
Operationalization of community-managed
projects
Research approach
Assumptions – epistemology and ontology
Adopted philosophy for the research
Interpretivism, positivism, realism and pragmatism
Research design
Rationale for the adopted research approach
Research strategy
Case study, experimental, survey & cross-sectional
Adopted strategy
Secondary and primary collection sources
Data collection methods and sources
Qualitative data collection techniques
D
e
si
g
n
a
n
d
m
e
th
o
d
o
lo
g
y
f
o
r
re
se
a
rc
h

1
5
4
3
2
Data processing techniques and presentation 6
Sample size, validity, reliability, dependent and
independent variables, ethical considerations

127

analyses which can withstand the test of time is deep-rooted in the choice of the
appropriate methodology for the study. All things being equal, if these criteria are
met, errors are either completely eliminated or drastically minimised (Yin, 2013). For
instance, Kuhn (1970) in his book The Scientific Revolution argued that an
appropriate research paradigm provides a conceptual framework about how problems
should be understood and addressed. Similarly, Creswell (2013) asserts that it is
crucial to consider the underpinning philosophical assumptions when designing the
methodology, because they have the potential of affecting the research from start to
finish.
Therefore, bearing in mind the probability of ontological and epistemological
paradigms to influence this research, a careful review of the two paradigms is
undertaken in order to link them with the adopted methodological choices. As
Easterby-Smith & Thorpe (2010) put it, paradigms offer researchers a philosophical
framework for shaping their research. From the above viewpoints it can be argued that
ontological paradigms relate to assumptions which deal with what may constitute an
objective or subjective reality in the mind of the researcher (Farquhar, 2012; Bryant &
Lasky, 2007) whereas the epistemological paradigms on the other hand concentrate on
the most appropriate way a research can be carried out to uncover knowledge
(Saunders, Lewis & Thornhill, 2012; Creswell, 2013).
4.1: Research Paradigms
It is noted that tacit answers to questions about ontology (i.e. what are we studying?)
and epistemology (i.e. what is the basis of warranted knowledge about our chosen
study?) highly impact upon any methodological engagement (Bryman & Bell, 2013;
Saunders et al., 2012). This implies that despite varying stances with regard to

128

knowledge, constituting assumptions about the nature of truth, the nature of human
behaviour and the possibility of neutral representation of the facts any researcher is
supposed to be investigating: such ontological or epistemological paradigms cannot
be avoided. According to Bryman and Bell (2013), epistemology is concerned with
the question of what is or should be considered as acceptable knowledge whereas
ontology is concerned with the nature of reality. The question is: what is real? Does it
mean that reality exists independently or externally from social actors; or should
reality be considered to be socially built up from the perceptions and actions of social
actors? These ontological positions have frequently been referred to as objectivism
and subjectivism respectively (Easterby-Smith & Thorpe, 2010; Collis & Hussey,
2010).
4.2: Research Philosophy
Influenced by the paradigms discussed above, the various types of research
philosophy are identified and their characteristics highlighted. In the context of this
study four key research philosophies associated with the epistemological paradigm are
discussed. They include positivism, interpretivism, pragmatism and realism (Creswell,
2013). The rationale for highlighting the strengths and weaknesses of the main
philosophical types is grounded in the view of Farquhar (2012) who asserts that
adopting consistency and rigour throughout the research methodology not only
minimizes bias but increases the generalizability of the research findings.
4.2.1 Positivism
The doctrine of positivism revolves around observable reality and searches for
regularities and causal relationships (Saunders et al., 2012).The prime aim of the
positivist is to seek causal relationships in data to create law-like generalizations

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through hypothesis testing (Gill & Johnson, 2010; Johnson, Buehring, Cassell &
Symon, 2007). It means that a positivist research seeks insights into phenomena on
the basis of measuring and observing embedded variables (Collis and Hussey, 2010).
Some characteristics of the positivist philosophy have been identified in Table 4.1
below in order to assess its suitability for this study.
Table 4.1: Descriptive aspects of the positivist philosophy
Aspects Assumptions
Causality … science aims to find causal explanations and fundamental
laws that explain regularities in human behaviour
Independence … researcher needs to be independent from that which is
being observed
Observation … only knowledge confirmed by the senses can be
warranted as knowledge and as such is verifiable
Operationalization … concepts need to be operationalized so that they can be
measured
Hypothesis
generation
… the purpose of theory is to generate hypotheses which are
then tested to allow for explanations
Objectivity … science is value-free, i.e. reality is independently derived
from human beings
Reductionism … problems as a whole are best understood if they are
reduced to the simplest elements
Source: Conceived by author from review of Farquhar, 2012
From Table 4.1 it can be deduced that Positivist philosophy sees science as a
demonstration of regular causal relationships among observable facts in a deductive
way and through observation. In this regard, it seems that positivist researchers will
prefer to deal with only observable facts within the boundaries of science. According
to O‟Donnell, Kramar & Dyball (2013), positivism seeks to obtain predictive
information related to the social reality and the external world as the main purpose of
science. For instance, positivism advocates the construction of theories of general
propositions representing regular causal relationships (Bryant and Lasky, 2007). The

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author holds that these theories of general propositions can be obtained only through
systematic observation and experiment. For the purpose of the study, positivist logical
reasoning seems to be less suitable, the reason being that this philosophy considers
observation, structured questionnaire and experiment as the key source to obtain
precise empirical knowledge (Bryman and Bell, 2013). Because this study seeks to
gain in-depth understanding of what accounts for the low sustainability of projects
driven by communities in the North West Region of Cameroon, an interpretivist line
of thinking seems to be most suitable.
4.2.2 Interpretivism
The doctrine of interpretivism is extremely easy to pin down and it is concerned with
grasping unique truths from individuals or groups with emphasis on understanding
rather than seeking objectivism (Farquhar, 2012; Bryant and Lasky, 2007). This
philosophy assumes that social reality has meaning for human beings and therefore
human action has meaning for them and they act on the basis of the meaning that they
attribute to their actions and to the actions of others (Bryman and Bell, 2013). It
means that this doctrine enables a researcher to gain access to people‟s „common-
sense thinking‟ and hence to interpret their actions and their social world from their
point of view. From the above viewpoints related to positivist and interpretivist
philosophies it can be asserted that they are not fundamentally in opposition to each
other but rather each philosophy requires a different analytical lens for the same data
(Acquaye, 2013).
This means that although they seemingly oppose each other in the sense of
objectivity and subjectivity, rigorous methodological research choices could
complement these doctrines (Farquhar, 2012). It is now clear that the interpretivist
philosophy will provide room for an in-depth understanding of the phenomena in the

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aforementioned views of this study. Based on some common features that characterize
the interpretivist philosophy, this philosophy has been described by some social
scientists as the same as phenomenology (Bryman, 2012) and social constructionism
(Easterby-Smith & Thorpe, 2010). Such common features of the interpretivist
philosophy are presented in Table 4.2.
Table 4.2: Key Assumptions of the Interpretivist Philosophy
Characteristics Assumptions
Understanding It means that reality is viewed as socially and societally
embedded and exists within the mind. It is fluid and changing
and multiple realities are presumed
Subjectivity This involves interpreting the meanings and actions of actors
according to their own subjective frames of reference
Subjective Knowledge is constructed and based on shared signs and
symbols recognized by members of a culture. Research
encompasses researchers‟ own views and how they have been
constructed
Setting The emphasis is on natural settings, and the subject of research
is not removed from what surrounds it in everyday life. It
involves an in-depth investigation
Holistic To interpret a phenomenon, the researcher must look at its parts
in terms of its whole and the whole in terms of its parts
Rich insight By exploring in depth, the researcher can gain a much fuller
understanding of the phenomenon
Source: Drawn by author inspired by Farquhar (2012) and Bryman & Bell (2012)
Having outlined the strengths and weaknesses of the interpretivist philosophy
through its characteristics, it becomes certain that this study will employ the
interpretivist logic of thinking. The reason for adopting this philosophy is presented
in detail in sub-section 4.2.4 below.

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4.2.3 Pragmatism
The pragmatist philosophy recognizes that there are various ways of interpreting the
world and undertaking research (Suanders et al., 2012). This entails the understanding
that no single point of view can ever provide the entire picture of the world and that
there may be multiple realities about the world. According to Bryman and Bell (2013)
pragmatist philosophy emanates from actions, situations and aftermath rather than
antecedent conditions as in the case of positivist philosophy. Supporters of this
philosophy argue that the most important determinants of a research strategy are the
research questions, not necessarily the ontological and epistemological assumptions
underpinning it (Bryman, 2012; Saunders et al., 2012; Simons, 2009). Pragmatists do
not always use multiple methods; rather they use a method or methods that enable
credible, well-founded, reliable and relevant data collection that answer the research
questions (Maxwell, 2010; Kelemen & Rumens, 2008).
From the above discussion it can be asserted that the main focus of pragmatist
philosophy is the research questions and not the methodological assumptions
underpinning the research. This implies that a wide range of methods are explored to
deepen the understanding of the research problem by the researcher. For this reason,
this study will not adopt the pragmatist philosophical stance.
4.2.4 Realism
According to Kuhn (1971) and Wooldridge (2003) the realist philosophical position
relates to scientific enquiry. It supports the positivist stance that objects have an
existence independent of human control. Realism equally shares the interpretivist
stance that knowledge is socially constructed (Yin, 2009). This means that the realist
doctrine blends aspects of positivist and interpretivist philosophies since it
acknowledges causality and a high degree of contextual analysis (Easterby-Smith et

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al., 2010). Similarly, Harrison (2013) suggests that realism like positivism assumes a
scientific approach to the development of knowledge. It can be concluded from the
above discussion that the realist philosophical stance is not restricted to one paradigm
of thinking but rather it gives the laxity to draw from both (Yin, 2009; Robson, 2002).
This philosophy seems to be less suitable not only to answer the research questions
but to perfectly complement the adopted methodological choices.
Having understood the basic aims and characteristics of various research
philosophies, and considering the questions and objectives formulated to guide this
study, the interpretivist line of inquiry is deemed most suitable for this investigation.
Figure 4.2 below provides the justification for the adopted philosophy. The rationale
for the chosen philosophy is that this study seeks to gain in-depth understanding of the
factors responsible for the limited sustainability of community-managed projects, and
this philosophy seems suitable. It allows for interaction between the investigator and
the objects under investigation, as the only way whereby deeper comprehension can
be made (Easterby-Smith et.al, 2010; Jogulu & Pansiri, 2011).
Figure 4.2: Chosen Research Philosophy

Source: Developed from literature on research methods, 2015

Research
philosophies
Positivism
Pragmatism
Realism
Interpretivism
Replicability of findings
Empirical/Field observation
Development of a conceptual
framework & implications
Data collection techniques and
analytical procedures to
understand the patterns
Research questions derived from
field survey to collect data

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From the above discussion on philosophical assumptions, an alignment of the
research questions formulated to guide this study is most suited to the interpretivist
line of inquiry. For instance, it allows the researcher and the participants to
collectively co-construct findings from their interactive dialogue and interpretation.
Supporters of this philosophy argue that humans interpret the world that they inhabit
and attribute different meanings to this world. The formulation of research questions
on the basis of a comprehensive review of literature related to sustainability of
community-managed projects subsequently led to the development of a conceptual
framework for the study. This process then paves the way for an inductive approach
to theory development.
4.3: Research Approach
The philosophical foundations of inductive and deductive methodological approaches
to research are pivotal in enabling an understanding of the relationship between theory
and research (Ketokivi & Mantere, 2010). For instance, the importance of thinking of
the relationship between theory and research in terms of inductive and deductive
approaches has been noted by Saunders, Lewis & Thornhill (2009) and Bryman and
Bell (2013). According to Saunders et al. (2009) common approaches used in social
science research include inductive, deductive and abductive.
4.3.1: Deductive Approach
This approach entails the development of a theory that must then be subjected to
rigorous testing through empirical observation of the facts using data collection
(Saunders et al., 2012). It implies that this approach is predominantly used in natural
science research where laws make up the basis for explanation of phenomena. As
Creswell (2013) puts it, a deductive approach to research relies on concepts that need

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to be operationalized in a way that enables facts to be measured, often quantitatively.
The argument is that research problems are better understood if they are reduced to
the simplest possible elements, known as operationalization or the principle of
reductionism. This approach is considered to be less suitable for this study because it
is deeply rooted in hypothesis formulation and testing of theory.
4.3.2: Abductive Approach
Contrary to the deductive approach which moves from theory and hypothesis
formulation to data collection, and to the inductive approach which starts from data
collection and proceeds to theory building, the abductive approach begins with
observation of phenomena and then works out a plausible theory of how such
phenomena could have taken place (Farquhar, 2012; Steverson, 2005). It is developed
from explanatory or theoretical ideas, which result in close examination of particular
cases (Bryman, 2012; Yin, 2009). The fact that the abductive approach to research is
not a matter of logic, but seeks to generate a new theory or modify an existing theory
through additional data collection, makes it less suitable for this research Instead,
inductive reasoning seems to be most suitable in enabling the researcher to understand
what is accountable for the limited effectiveness of community projects in the study
area (Figure 4.3).

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Figure 4.3: Adopted Research Approach

Source: inspired by the literature on research methods, 2015
4.3.3 Inductive Approach
Unlike the positivist approach to research, which is based on hypothesis formulation
and theory testing (Farquhar, 2012), the inductive approach is viewed as most suitable
to permit the study to derive a theory from data, by looking for patterns in the data
collected. Johnson et al. (2007) put forward the view that a theory developed
inductively out of systematic empirical research is more likely to fit with the data.
Considering the fact that the questions accompanying this study are deeply
rooted in theories relating to community management, such research questions were
formulated to guide the researchers‟ understanding of the factors limiting the effective
running of community-managed projects in the study area. This line of reasoning puts
this study into the trajectory of an inductive research approach. Regarding the specific
research questions formulated to guide this study, and given that they seem not to be
deeply rooted in theory, an inductive logic thus appears to be the most suitable
approach to be followed in finding answers to them. It means that this study is not
Research
approaches
Using observation & theory to
familiarise with the issue
Inductive
Abductive
Deductive
Building theory in the form of a
conceptual framework
Collecting data to identify patterns
and relationships between
phenomena
Formulating research questions to
explore phenomena
1
2
3
Identifying themes to ease
investigation

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seeking theory or hypothesis testing; rather, it is seeking to contribute to the existing
theory on the community management of projects.
Therefore, focusing on the sustainability of community-managed projects in
the context of Cameroon, on which there is very little existing literature, it would be
more appropriate to work inductively by generating data and reflecting upon what
theoretical themes the data are suggesting. Besides, this study is not only concerned
with the context in which the phenomena are occurring (Bryman and Bell, 2012) but
is more likely to work qualitatively and to use a wide range of methods to collect data
in order to establish different views on the phenomena (Yin, 2012). Therefore, in
order to understand why community-managed projects have had low sustainability in
terms of ongoing functioning, an inductive line of reasoning is adopted so as to gain
insights into the phenomena. This is in line with the argument of Saunders et al.
(2012) that if a research is particularly interested in understanding why something is
happening, rather than being able to describe what is happening, it will be more
appropriate to undertake such a research inductively rather than deductively.
The outcome of any research is not just influenced by the adopted philosophy
and approach to theory (Creswell, 2013) but by the adopted underlying
methodological choices such as research design and techniques for data gathering
(Robson, 2011; Saunders et al., 2013). The researcher must therefore be conscious of
the fact that the validity, reliability and replicability of research findings depend upon
the type of research design employed. Methodological choices refer to the general
guide of how a researcher wants to provide answers to his/her research questions
(Modell, 2010; Creswell, 2013). It should contain clear objectives derived from
research questions, specifying the sources from which data collection will be drawn,
how the data will be collected and analysed, and discuss ethical issues and the

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constraints the researcher will inevitably encounter, for example access to data, time,
location and funds (Saunders et al., 2012; Easterby-Smith, 2010; Yin, 2009).
4.4: Research Design
A research design is actually a plan of how a researcher intends to go about providing
answers to the specific research questions (Easterby-Smith & Thorpe, 2010). This
implies that a research design is a methodological link between the adopted
philosophical underpinnings and the subsequent choice of methods to collect and
analyse data. There are common types of research designs capable of affecting the
credibility of the research findings. They include case study, survey, action research
and experimental design (Bryman and Bell, 2013; Farquhar, 2012).
4.4.1 Experimental Design
The experimental design places a high level of confidence in statistical inference, thus
ensuring that the significant relationship established raises reliability (Maxwell, 2010)
and hence achieves an internal validity that demonstrates cause-effects between the
two variables. This design is often preferred in natural science research rather than
business research because the independent variables are usually manipulated to
examine their impact on the dependent variable (Creswell, 2013). It is not just
associated with laboratory research but often grounded in hypothesis (Saunders et al.,
2012). This study will not adopt the experimental design because of its close
association with laboratory research.
4.4.2 Case Study Design
The need for this design arises out of the desire to explore a phenomenon within its
real-life context (Saunders et al., 2012). This enables the researcher to gain an in-

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depth understanding of the phenomenon under investigation (Yin, 2012; Rowley,
2002). It implies that the case study design is capable of enabling a phenomenon to be
studied in its natural setting so that meaningful and relevant theory is generated from
the understanding gained through actual practice (Farquhar, 2012). For this reason it
can be argued that the case study design has the objective of presenting a detailed and
intensive analysis of the phenomenon. When used for qualitative research, a
structured or semi-structured interview guide is employed to draw large amounts of
data, which offers an opportunity for the researcher to carry out an in-depth
investigation into the problem (Creswell, 2013; Easterby-Smith et al., 2010).
The core feature of case study design is its ability to combine both qualitative
and quantitative data collection techniques which, to an extent, enhances the
robustness of the analysis, hence adding value to the results (Yin, 2012). Yin refers to
the technique of collecting data using interviews, observations and documentary
review as data triangulation. Common case study types include critical, revelatory and
longitudinal (Yin, 2012). In a critical case the researcher clearly specifies the
hypothesis and the chosen case creates an opportunity for better understanding of the
conditions in which the findings will be accepted or rejected. The revelatory case is
more associated with a laboratory type of investigation to analyse a previous situation
that was not considered, whereas a longitudinal case is concerned with how a
condition has changed over time (Acquaye, 2013; Bryman & Bell, 2012; Yin, 2012).
Questions related to why, what and how are better answered with a relatively
full understanding of the nature of the phenomenon in case study design (Easterby-
Smith et al., 2010; Yin, 2012). The use of quantitative and qualitative techniques in
case study analysis implies that both inductive and deductive approaches to theory are
applicable in case study research. The unique objective of case study design is to

140

provide an in-depth understanding of the research problem. However, the concept of
external validity has been the main concern of researchers undertaking this design.
The argument is based on whether the results attributed to a single case can be
representative of similar cases (Gill and Johnson, 2010). Despite this concern, case
study can contribute to either generating theory or testing theory. Equally, it has a
high propensity to provide an in-depth comprehension of a theoretical proposition
(Bryman and Bell, 2011; Yin, 2009, 2012; Farquhar, 2012).
For the purpose of this study, a multi-case design is adopted. It seems to be the
most suitable design for providing answers to the five specific questions formulated to
guide this research. This design not only provided the opportunity to gather
qualitative data in connection with more themes but offered the researcher a chance to
document multiple perspectives, explore contested viewpoints and demonstrate the
influence of key actors (Farquhar, 2012; Acquaye, 2013). The rationale for the
adoption of this design is that a range of themes will constitute a platform to
understand the underlying factors undermining the sustainability of community-
managed projects. Again, the choice of an exploratory multi-case study design is due
to scanty literature on challenges of community-managed projects in the North West
Region of Cameroon. The third reason for adopting this design is its flexibility and
adaptability to changes (Bryman and Bell, 2013). This implies that it may start with a
broad focus but becomes narrower as the research progresses.
Unlike the explanatory case study research that establishes causal relationships
between variables, the adopted design enables the researcher to gain an accurate
picture of the phenomenon on which data was collected. In the context of this study,
there are four projects that are community-managed in different localities and across a
single period of time (2005-15), although references could still be made out of this

141

time frame to ease explanation of issues. The four selected community projects are
grouped into years from 2005-15 and by location. The reason for delimiting the time
frame and location is to provide a comprehensive analysis of the chosen cases. It
increases the possibility of replicating the findings across other cases, described by
Yin (2012) as literal replication.
In order to minimize case study criticism on generalizability, rigour,
consistency and coherence are ensured, where the adopted philosophical assumption
and approach stated at the beginning are aligned with the research design, aim,
objectives and questions. Moreover, the analysis of more than one case which is
effectively dealt with in this study increases the replicability of the findings. The
identification of the pattern of association in the variables aids the understanding of
factors behind the sub-optimal sustainable management of community projects.
Conversely, the experimental design gives no room for manipulation. The main
limitation of undertaking a multiple-case study is that it may require a huge amount of
resources and time, usually beyond the reach of an independent researcher (Yin, 2012;
Creswell, 2013). This implies that the decision to carry out a multiple-case study
design cannot be taken lightly. But its strength is that evidence from multiple-case
designs is usually considered more compelling and therefore regarded as being more
robust (Saunders et al., 2012; Bryman and Bell, 2013).
4.2.3: Why the Adoption of a cultural and not a political approach?
The adoption of a cultural approach is in line with the fundamental purpose of
community-driven projects on which this study focuses. Community-managed
projects are created fundamentally to ameliorate the socio-cultural wellbeing of
grassroots populations, and these community projects permeate the socio-cultural

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fabrics of indigenous people. These realities justify the adoption of a cultural
approach for this study. The suitability of a cultural approach also emanated from the
fact that in the North West Region of Cameroon (NWRC) where this study is
conducted there is a history of self-reliant development effort which dates back to the
colonial era when the local people were governed through their traditional rulers.
Today, the NWRC is one of those unique regions in the country where the people are
still very closely attached to their culture and traditional institutions. Quite often, the
people of this region do not just sit and wait for the government; they initiate their
own projects and seek financial and material support from international NGOs.
Therefore, this study adopted a cultural rather than a political approach in order to
understand the role that the culture of a people whose life revolves around their socio-
cultural and traditional institutions can play in any project in the NWRC.
4.5: Data Collection Procedure and Instruments
Depending on the adopted philosophical stance, the method and procedure for data
collection can either be qualitative, quantitative or both (Saunders et al., 2012; Yin,
2012). Qualitative data collection is associated with tools such as semi-structured
questionnaires and interview guides, whereas quantitative data collection
predominantly uses structured questionnaires or closed-ended questions (Creswell,
2013; Bryman and Bell, 2009). According to Yin (2014), qualitative research is
deeply rooted in understanding a phenomenon. Therefore its main objective is to
qualify data and gain insights from people‟s perspectives by the use of non-statistical
inferences. This implies that the qualitative method is most appropriate in gaining in-
depth data where the principal objective is to provide a detailed understanding of the

143

phenomenon. The sources for data collection can be grouped into three categories:
primary (published and unpublished), secondary and tertiary (Figure 4.5).
Figure 4.5: Categorization of Data Collection Sources

Source: Developed from research methods literature, 2015

Tertiary sources are search tools designed either to help locate primary or
secondary data or to introduce a research topic (Saunders et al., 2012). As shown in
Figure 4.5 above, tertiary sources are associated with online databases, indexes,
catalogues, encyclopaedias, bibliographies and dictionaries. The data collection
process was carried out in two phases, namely secondary and primary. The data
collection process for this study started with the secondary data. Secondary data
collection continued during the primary data collection phase and even beyond. The
main instruments used for the data collection were satellite images, maps, voice
recorder, pens, pencils, writing papers, tracing papers, photocopiers, flashes, diskettes
and printers.
4.5.1: Secondary Data Collection and Instruments
The collection of secondary data was predominantly a desk exercise and it was
consecrated to the collection of data from published and unpublished sources such as
Data collection sources
-Journals
-Books
-Some
government
publications

-Databases
-Catalogues
-Dictionaries
Encyclopaedia

-Theses
-Reports
-Committee
minutes
-some local
government
publications

Tertiary Secondary Primary
-Focus groups
-In-depth
interviews
-survey
questionnaire

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web sites, journal articles, textbooks, magazines, dissertations, theses, committee
minutes, letters, and central and local government publications. A good part of the
secondary data for this study was drawn from online management and business
databases such as ProQuest, EBSCO host, Regional Business, ETHIOS, World Bank,
Birdlife International and Plan International quarterly reports, UNDP reviews and
other international development databases which have comprehensive affirmative
information on the management of community projects. During this time the libraries
of Cardiff Metropolitan University, London University, University College London,
the London School of Commerce and the British Library were used to access online
documents related to the management of community basic projects in the developing
world, particularly in sub-Saharan Africa.
In addition, the local libraries of the Bamenda Highland Project, the Centre for
Environmental Management and Monitoring (CEMMON) Bamenda and archives for
the village development associations (VDAs) in Fundong, Bali, Mbai and Kingomen
which contained information on some community-managed projects in the NWRC
were visited during the pilot fieldwork phase. The maps and satellite images enabled
the researcher to gather information on the relief of the study area which influences
encroachment, the vegetation types, fire-prone areas and the evolution of the forest
with time. Among the data collected from archives was the number of villages
directly affected by each of the studied projects, and the estimated numbers of
household data were obtained from latest census sheets of 2006 found in the National
Institute of Statistics in Yaounde, Cameroon.
The approximate surface area of the Mbai community project areas was
gleaned from the library of the Bamenda Highland Project in the town of Bamenda.
The map and feasibility study of the Fujua-Fundong-Mentang-Ngwainkuma water

145

project was obtained from the regional office of PLAN International in Bamenda
town. The surface area and feasibility study for the Mbai community forest project
were for an agreed fee. The monographic study of Bali was used to acquire
information about the map and the beneficiaries of the Bali community water project.
Community-specific issues were consulted from the archives of the Local
Management Institutions (LMIs) such as Village Development Associations (VDAs)
and the traditional regulatory societies of Kwifon and Nwerong. They provided data
about issues such as illegal grazing in the project sites or outside enclaves, farming in
the forest conservation sites, settings of fire in the forest and illegal harvesting of
Prunus bark.
The advantages associated with the use of a wide range of sources for
secondary data collection include the extensive breadth of data available and the input
of quality of expertise and professionalism involved (Creswell, 2013; Acquaye,
2013). In the context of the study, approximately eight months were spent doing the
data analysis and write-up, thus enhancing the robustness of the analysis. However,
there are some concerns raised regarding the secondary data collection. For instance,
the first weakness associated with the secondary data collection is its inherent nature
due to the non-involvement of the researcher in the collection process (Saunders et al.,
2012). Also, due to the geographic location where the data was collected, the
collected data may not answer some of the researcher‟s key questions, or in some
cases the data may be available but might not be available to use by the researcher
(Creswell, 2013; Farquhar, 2012).
This study is conscious of the fact that the secondary data might have been
affected by a low response rate or poor understanding of the research questions, and
then the researcher intends to draw data primarily in order to raise the reliability and

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validity of the analysis and findings. It should be noted that secondary data collection
was a continuous process.
4.5.2: Primary Data Collection and Instruments
Primary data for this study were collected in five weeks of fieldwork. The main
instruments used for the collection of the data were focus group discussions,
interviews, GPS, cameras, questionnaire and on-the-spot observation. The data
included the views of interviewees and information gathered during focus group
discussions on the impact of the limited knowledge of the socio-cultural and
anthropological background of project end-users by project providers on the
sustainable management of community projects, including issues such as denied
access to shrines, lack of real incentives, and lack of expertise in the management of
community projects.
In the same vein, information on the relationship between the project end-
users and project management committees in terms of accountability, transparency
and trust in the area was gathered. The interviewees also provided data on the past and
present human activities in and around the project area and their effect on project
catchment areas. The interviews revealed the informants‟ knowledge of the impact of
climate variability and change in terms of the decreasing number of days with rainfall
and the increasing length of dry season on not just forest resources but on water and
hydro-electric power. Opinions were drawn on the traditional management methods
and the traditional values attached to water catchment areas and the forest and its
resources.
Furthermore, interviews were used to elicit the perceptions of the informants
on factors accounting for the limited functionality of community projects in the study

147

area. Other data gathered in the field that complemented the secondary data included
information on the extent to which limited networking between community
stakeholders at the grassroots riddles the ongoing management of community projects
in the study area. In addition, the activities of the local people within and at the
immediate surroundings of community project areas such as farming and grazing
were observed and photographs taken. These photographs that were intended to show
the continuous practice of those activities around the project area revealed present
project encroachment scenarios.
4.5.3: Validity and Reliability of Primary Data Collection Instruments
In order to ascertain the appropriateness of the content of the interview guide and
survey questionnaire for this study, it was subjected to face validity before being
taken to the field. My Supervisor and Director of Studies oversaw and confirmed to
me that the interview guide and survey questionnaire were valid and reliable to
achieve the intended objective. The primary data-gathering process began with a pilot
study phase in 2014 after an initial conceptualisation and elaboration phase of the
research project in 2013. The process of data treatment and analysis began with the
assembling of the interview data collected from the field, coding and categorizing
them into themes.
Based on the analysis of data collected through interviews, a total of 100
copies of the survey questionnaire was generated and administered to the project end-
users in order to complement their views with those of project managers. The
treatment of the data began with weighting the data collected and the “agree” and
“disagree” responses for each item attributed one point to allow for quantification.
Through this analysis, quantitative data were incorporated with qualitative data. Both

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data sets were then introduced in the computer and converted into soft and
subsequently hard copies by computer software devices. Software such as Word 2008
was used for typing the work, Excel for statistical treatment of data and transforming
numerical data into graphical representation, and Adobe Illustrator for drawing maps.
A scanner, digital camera, a USB key and a printer were used for scanning,
introducing scanned material into the computer and printing respectively.
Similarly, to ensure that the survey questionnaire was reliable, that is, to be
able to elicit the same information always from the respondents, it was subjected to
the test-retest reliability test (Bobko, 2001; Ogolo, 1996; Leedy, 1989) to find out if
the condition -1≤ rxy ≤ 1 was going to be satisfied and if the contents of the survey
instrument could easily be understood. This test was carried out in Buh, one of the
village communities in Kumbo Central Sub-Division that has witnessed similar
project implementation challenges to those in the Mbai, Bali, Kingomen and Fujua-
Fundong-Mentang-Ngwainkuma village communities.
It involved one university and two secondary school drop-outs and a first
school leaver to whom the questionnaire was administered twice. The first and second
phases of the test administration of the survey questionnaire were carried out at an
interval of 7 days and the results of the first administration were considered as the
control test. A score of 62 was obtained for each of the four respondents since the
initial questionnaire carried 62 questions with the exception of the five questions for
the identification of the respondent. For the second administration, the responses to
some questions were not exactly the same as for the first administration. All questions
with discordant responses were counted for each of the respondents and subtracted
from their respective 62 scores to give their second results. The correlation between
the two results was calculated in order to get the coefficient of reliability (rxy) of the

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survey instrument (Table 4.3). The coefficient of reliability (rxy) was calculated using
the formula:
rxy =
 



²)²)(²²( YnYXnX
YXnXY

Where:  = sum X = mean of X Y = mean of Y
Table 4.3: Coefficient of Reliability of the Survey Instrument
N° Test 1 (X )
18-08-2015
Test 2 (Y )
26-08-2015
 X n X X ² n X ²  X ²
248 4 62 5929 23716 94864

 X Y n X Y rxy
84084 19712 1
Y n Y Y ² nY ² Y ²
223 4 55.5 4096 22201 88804
1 62 58
2 62 56
3 62 55
4 62 53
Total 248 223
Mean 62 55.5
Source: Fieldwork, 2015
From Table 4.3 it is seen that the coefficient of reliability (rxy) of the survey
instrument is 1, conforming to the condition of -1≤ rxy ≤ 1. Since the coefficient of
reliability was more than 0.5, it means that the survey questionnaire was largely going
to be reliable. This survey questionnaire was updated to 20 questions after some initial
ones were reframed or taken off.
4.5.4: Conceptualisation of the Research Project
The conception of this study began in 2013 with the intention to understand why
community-managed projects have been experiencing limited levels of sustainability
in the North West Region of Cameroon. This region serves as a good case given its
high-incidence implementation level of community-driven projects and the fact that
during my voluntary service with the Mentang village development union (MENDU)
as branch secretary, I visited many other village development associations and

150

observed that most of them struggle to sustain their basic social amenities shortly after
the departure of the donor agencies. The suitability of the choice of the North West
Region is the region‟s long history of communal efforts towards development through
community-based associations such as village development associations and common
initiative groups (Njoh, 2011; Fonchingong & Ngwa 2006). Moreover, the
relationship between the candidate and the project is that the candidate comes from
the study area and can conveniently access local communities‟ documentaries or
organize focus group discussions and in-depth interviews with the key rural
community project stakeholders for data collection purposes.
During this pilot phase, socio-economic issues such as frequent human
activities like graziers being reluctant to take their animals out of project sites, farmers
returning into the wetland and project areas, rampant destruction of projects by fire,
and indiscriminate harvesting of Prunus Africana are commonly observed in the study
area. This phase marked the actual beginning of primary data collection for this study.
It actually took place in 2013 between 4th and 28th of September, 2014. This phase
was intended to serve a dual purpose. Firstly, to provide partial information that was
to be used in setting an empirical basis for the study. Secondly, to test the validity and
reliability of the interview draft questions in preparation for an eventual data
collection for the thesis. The selected four community-managed projects were visited
and the criteria used to select them were mainly accessibility in terms of proximity to
the road, the time to get to the project site and the availability of information and/or
informants that were thought receptive and willing to release authentic information
about the phenomenon under investigation.
Before the pilot study was carried out, three graduate students from the
department of Geography in the University of Yaounde I, and who come from the

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study area, were solicited and groomed on the specificities of the data-gathering
instrument and the purpose of the study. These natives helped in reducing suspicion
and served as confidence builders and the principal interpreters in some cases
throughout the data gathering execise. Another salient strategy adopted was that of
paying courtesy visits to the palaces of traditional rulers. This paid off so much. While
in the Mbai project site, a courtesy visit was paid to the traditional ruler. After
conducting an interview with him, he opted to offer two of his close collaborators
(nchinda) to guide us to identify the heads of the various user groups and forest
project management officers. This gesture created much awareness about us and we
quickly understood how to ease our task subsequently in the remainder of the villages.
During the pilot phase, the researcher decided to organise 4 focus group
discussions before the actual data collection phase as one of the strategies to further
reduce suspicion. This strategy paid off very well as the people who participated in
the discussions helped to sensitise their communities‟ members after they were made
to understand the purpose of the study and how it was going to safeguard the interests
of the local population. This pilot phase actually enabled the researcher to identify key
stakeholders involved in implementing community projects in the North West Region
of Cameroon (Figure 4.6).

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Figure 4.6: Conceptualisation of Community Stakeholders in the NWRC

Source: Derived from pilot fieldwork, 2014
From Figure 4.6 above, community stakeholders are conceived of as locally-
based institutions such as the municipal and traditional councils, village development
association (VDA), common initiative groups (CIGs), local non-governmental
organizations (NGOs) and elite associations directly or indirectly engaged in ensuring
the functioning of community projects in the North West Region of Cameroon.
In each of the project sites visited, a courtesy visit was paid to the traditional
authority (chief or quarter head) to notify our presence, purpose and to be given basic
guidelines on who could readily provide us with the information needed or facilitate
information acquisition. In this connection, the quarter head of Mbai, the Mbai Forest
Management Officer, a grazier and a farmer were met. In the Fundong project site the
village development chairpersons, project chairman and three traditional notables in
Mentang, Fundong village and Ngwainkuma were contacted among others. In the
Concept Community Stakeholders
Dimension
Variable
s
Indicators
Community-
based
organizations
-Non-
governmental
organizations
(NGOs)
–Bilateral
corporations
– Municipal
&Traditional
councils
-Locally-
based state
agents
-Village
development
associations
(VDAs)
-common
initiative
groups (CIGs)
Local
traditional &
administrative
authorities
Donor
support
agencies
-Plan
International,
-Birdlife
international
-HEVELTAS
(SATA)

-Councils
– SNEC
-Traditional
landlords
-FUDA
MENDU,
FUVIDA,
BACODA
BACOWAS
Supervisory
boards
-caretaker
members
-projects
committee
-FMIs
-FMOs
-water
committees

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Kingomen site, the local technician, community development association and elected
councillor were contacted. Among other persons contacted in the Bali community
project site were the co-ordinator of Bali community water project, the village
development chairman, councillor and the deputy mayor. All these persons provided
useful information and some were to serve as informants during the actual fieldwork.
While in the field, the Kingomen project site manager was visited and
arrangements were made for a formal visit which actually took place between 1st and
30th of April, 2015. However, he provided information on issues affecting the
sustainable management of community projects and the available documents
instantly. Similarly, the site manager and two field staffs of the Mentang community
water project were visited and preliminary information was gathered on the objective
of the project, the project user groups, the stakeholders involved in the
implementation process and the problems encountered.
4.5.5: Focus Group Discussions
A total of four focus group discussions were held. In each of the four chosen
community project sites, a focus group discussion was held with groups of the village
community development associations (VDAs). For instance, one in the Mbai forest
project site with those who lost their entire or parts of their farms to the project, one
with local farmers/graziers in the Fujua-Fundong-Mentang-Ngwainkuma water
project site, and one in the Bali water project site with the local authorities made up of
the local councillors, project team leader and the close collaborators of the VDA
chairman (Table 4.4). In the Kingomen hydro-electric project site one focus group
discussion was held with members of the VDAs and farming groups. The focus group
discussions enabled us to gather information from persons with a common interest

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more quickly. The least attended focus group discussions had five members and the
most attended had nine members.
Table 4.4: Focus Group Discussions Held
Community
project site
Members of
VDAs
traditional
authorities
Members of
project committee
Total
Mbai project – 1 – 1
Kingomen project – – 1 1
Bali project – 1 – 1
Fujua-fundong-
mantang project
1 – – 1
Total 1 2 1 4
Source: Fieldwork, 2014
The focus group discussions were different from the interviews conducted as
no structured questions were forwarded to the groups in advance. In addition, focus
group discussions were based on project user groups and helped to reduce the chances
of missing valuable information (reduce level of bias) from those who were
disfavoured by the adopted systematic purposive interviewing sampling technique.
This paved the way for the major fieldwork which was held between the 1st and the
30th of April, 2015. The criteria used for choosing interviewees, however, were based
on membership in project committee, experience or position held in the committee,
educational status and how accessible or available the person was.
4.5.6: The Major Fieldwork
The major data collection process took place between 1st and 30th of April 2015. This
second phase consisted of holding 12 in-depth interviews in the four community
project sites in which a pilot study had been carried out earlier on. In addition, during
this phase, a direct observation of the four chosen community-managed projects

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(Mbai community forests, Bali water project, Fujua-Mentang-Fundong-Ngwainkuma
water project and Kingomen hydro-electrification project) along with the management
challenges affecting them was carried out. The intention was to assess the
effectiveness of those projects and the extent to which socio-cultural and
environmental constraints hinder their sustainability. The observed findings were
complemented and corroborated with data from interview guide.
4.5.7: Interviews
The main instrument used for data collection for this study was semi-structured
interviews. A total of 12 in-depth interviews were conducted within the study area and
the informants were drawn from the four chosen project sites (Appendix 1). All the
interviews conducted within the study area lasted between 35 minutes and one hour.
Three in-depth interviews were held with stakeholders in each of the four selected
community project sites (Figure 4.5). These informants were identified during the
pilot phase of this study as being very resourceful in terms of information relevant to
the research purpose. The identification of some other informants was facilitated by
the chairpersons of VDAs responsible for monitoring community projects.

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Figure 4.5: Spatial Distribution of Successful in-depth Interviews in the Study Area

Source: Fieldwork, 2015

The adoption of in-depth interviews as the main instrument for data collection
was due to its suitability to help the researcher to capture what is in and on the
interviewee‟s mind regarding the dwindling sustainability of community-driven
projects in the study area. Secondly, it actively engaged the researcher and the
informants in identifying and analysing what was responsible for the poor sustainable
implementation of community-managed projects. Another major reason for adopting
the interview as my main data collection tool is its inherent flexibility to pursue
emerging issues and engage in dialogue with participants. Fourthly, the potential of
the in-depth interview for uncovering and representing unobserved feelings and
phenomena that cannot be observed seems to be most suitable strategy in the
understanding of the impact of the socio-cultural and anthropological background of
project end-users on the sustainable management of local initiatives. In order to
4 selected community-
managed projects
3 3 3 3
Intended number of
interviews to be conducted
Fujua-fundong-
mentang project
Kingomen
project
Bali community
project
Mbai community
project
12 in-depth
interviews
12 in-depth interviews
were successfully held

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provide a cross-check on data obtained through interviews, field observation was
conducted.
4.5.8: Field Observation
Observation was an important part of this study during the pilot phase and continued
in the major data collection phase. It involved what was perceived, heard, seen with
the eyes and could be counted. For instance, the livelihood activities of the local
population and their natural environment were observed. Community project
characteristics were observed together with what the local population were doing to
sustain their projects. Grazing and bee farming and other human-related activities in
and around the water catchment areas, dam and forest, and the effect of bushfires on
the forest and water catchments were equally observed. Using a GPS, the altitude at
which water chambers are built and areas of the communities not served by potable
water and hydro-electric projects as a result of high relief were observed. In addition,
the numbers of project beneficiaries, animals and water catchment areas were used to
calculate the human and animal population densities as well as the hydrographic
density of the selected areas. Furthermore, the GPS was used to obtain information on
the seasonal flow of streams and how they affect water availability for electricity and
pipe-borne water supplies in the concerned areas.
The researcher listened to the people describing their socio-cultural theories
and models of water and forest conservation with salient aspects being the
identification of abodes of the gods, which include watersheds, catchment areas and
fragile ecosystems that are subsequently designated as sacred forests for protection
using taboos. In the Mbai community forest site the research team observed caves and
the trees within and around them and their importance in conservation following their

158

role as specific resource reservoirs. Photographs of some of what was observed in the
field were taken. Field observations provided the investigator with an opportunity to
use the feasibility studies to update four community-driven project maps in the North
West Region of Cameroon.
The rationale for using observation as a technique for data collection emanates
from the fact that it permits a researcher to gain a comprehensive sense of the siting
which cannot be obtained solely by speaking with informants. According to Simons
(2012), through observing one can discover the norms and values which are part of
the institution‟s culture or sub-culture. Observation offers another alternative way of
capturing the experience of those who are less articulate, unlike interviews that
privilege the articulate. Documentary reviews of the selected four cases
complemented the interviews and observation methods adopted for data collection.
For instance, documents representing annual reports, audit reports, vision statements,
rules and regulations, newspapers, bulletins and memos of the managing committee
for Mbai community forest project, Kingomen hydro-electrification project, Bali
community water project and Fujua-Fundong-Mentang project were reviewed.
4.5.9: Survey Questionnaire
Based on the data drawn from the 12 interviews and four focus group discussions held
during the major field work, a survey questionnaire was generated and administered
to 77 households in the four project sites in the North West Region of Cameroon that
were selected for this study. The use of survey questionnaire was not intended to draw
new data but to confirm the data drawn earlier using interviews, focus group
discussions and observation, thus adding more credibility to the research findings.

159

A sample size of 100 for this survey was selected from the 3,376 households
in the 20 villages and neighbourhoods that made up the 4 communities considered as
the study area, as provided by the latest national census carried out in 2005 and the
2010 population projection. Considering that the sample frame of 3,376 households
was in thousands and not hundreds, we noticed that a 3% sample size for the study
(Creswell, 2013; Yin, 2009; Nwana, 1982) was convenient due to constraints related
to time and material, financial and human resource availability at the researcher‟s
disposal. Computing the 3% sample size, we had a total of 100 households to which
the survey questionnaire was administered following a systematic random sampling
that was based on a sampling frame of one copy of questionnaire for every 33
households (Table 4.5). The reason for using the household is that it is much easier to
administer a questionnaire in terms of households than actual individuals in the
population.
The 33rd household, which was designated as „n‟ was targeted for
questionnaire administration to ease replacement in a single direction of n+1 or n+2
and so on, in cases where respondents were absent or refused to collaborate in the
targeted household 33 or 34 or 35. In some households, occupants pleaded to stay
with their copies of the questionnaire and fill them out later at their convenience
before they were collected. Some other occupants agreed to collaborate but provided
very limited information, which did not meet up with the admissibility criterion for
their copies to be considered.

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Table 4.5: Communities and 3% Sample Size the 4 Project Sites in the NWRC
Project site Neighbourhoods Households 3% Sample size Effective Respondent

Bali CWP
Jam Jam/Gingong I
Ntankoo Hill 1362m
602 18 13
Koppin 120 4 4
Naka 209 6 5
Bawock 299 9 7
Sub-total 4 1230 37 29

Fundong CWP
Fundong village 132 4 3
Ngwainkuma 78 2 2
Mentang 242 7 5
Fujua 212 6 4
Sub-total 4 664 19 14

Kingomen
CEP
Kinchumin 28 1 1
Tonsaiy 31 1 1
Romishyiy 26 1 1
Tatu 30 1 1
Ronkih 33 1 1
Village Square 81 2 2
Sub-total 6 241 7 7

Mbai CFP

Simonkoh 414 12 7
Lum 92 3 3
Tankiy 54 2 2
Ntovi 92 3 3
Mbockenghas 109 3 3
Tadu 480 14 9
Sub-total 6 1241 37 27
Total 20 3376 100 77
% 100 100 77
Source: Drawn from fieldwork, 2015

Through a quick verification of the copies of the questionnaire that were either
filled or collected later, it was observed that out of the 100 copies taken to the field,
12 copies were those where the occupants refused to collaborate, 8 copies were never
returned, 3 copies were scantily filled and 77 copies that were filled and returned met
up with admissibility criteria. These 77 copies were those that were classified under

161

effective respondent (Table 4.6) and were actually considered for data treatment and
analysis.
Table 4.6: Effective Respondent in the 4 Project Sites in the NWRC
Project name/type Number of
households
3% Sample size Effective respondent
Bali community-managed
water supply
1230 37 29
Fundong-Mentang water
supply projects
664 19 14
Kingomen hydro-electric
supply project
241 7 7
Mbai community-managed
forest
1241 37 27
Total 3376 100 77
% 100 100 77
Source: Drawn from fieldwork, 2015
The beneficiary population for the chosen four project case studies is in
several thousands, and a 3 per cent sample is very appropriate as the researcher could
comfortably handle it. Bearing in mind that a systematic random sampling technique
was used to get the views of project end-users vis-à-vis those of project managers
regarding why projects that are community-managed have had such limited
sustainability, a 3% sample size for this study was selected from the total number of
households in each of the project case studies based in the study area.
4.6: Data Treatment and Analysis
The process of data treatment and analysis began with the assembling of all the data
collected from the field and categorizing the data collected into common themes. The
data drawn through interviews were analysed following the main themes in the
specific research questions. An inductive thematic analysis was adopted. The rationale

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for adopting an inductive thematic analysis is in accordance with Yin (2012) who
argues that it is theoretically flexible. This implies that thematic analysis can be used
within different frameworks to answer quite different types of research questions
(Bryman and Bell, 2012; Farquhar, 2012). Another reason for the adoption of
thematic analysis is its ability to address research questions related to people‟s views
and perceptions (Creswell, 2013; Yin, 2012).
In order to identify patterns of meaning across the interviewed dataset, a
rigorous process of familiarization, data coding, theme development and revision was
undertaken ( Table 4.7).
Table 4.7: Adopted approach to thematic data analysis

Source: Author’s conception, 2016
Familiarization: In this phase, I
focused on reading and re-
reading the interview data to
become intimately familiar with
the content of the dataset
Coding: I used this phase to
generate succinct labels
(codes) that identify salient
features of the data relevant to
my research questions
Searching for themes:
During this phase I examined
the codes and collated data to
identify patterns of meaning
Writing up: This phase
involved weaving together the
analytic narrative and data
extracts and contextualizing the
analysis in relation to existing
literature

Reviewing themes: I checked
the themes against the dataset to
see if they answered my
research questions, which were
sometimes split, combined or
discarded
Defining and naming themes:
Here I developed a detailed
analysis of each theme, working
out the scope and focus of each
theme with respect to my
research questions
1
6 5
4 3
2

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Although the process of thematic data analysis was undertaken in sequential
phases, and each builds on the previous, the analysis exercise was typically a
recursive process involving movement back and forth between various phases. It
should be noted that the data treated and analysed were categorized into main and
emerging themes that arose during the interviews and focus group discussion (Table
4.8). From these qualitative data collected, a structured survey questionnaire was used
to draw quantitative data and was transformed into soft and subsequently hard copies
by computer-assisted data analysis software. For example, the Microsoft Word 2008
and Excel programs were employed to transform empirical data for descriptive
representation.
Table 4.8: Main themes guiding the data analysis
Main themes Key issues
Socio-cultural issues The failure to consider traditional landlords as one of the user
groups, which included wood carvers, bee farmers, rat trappers
and tradi-practitioners. The non-incorporation of the belief
practices of the project end-users by the implementing agents
into community-managed projects (CMPs)
Environmental constraints The influence of undulating relief, increasing number of days
without rainfall, increasing fluctuations in temperature and
sunshine, frequent bush fires, wind and rainfall erosion, causing
a drop in water table and water catchment
Technical capabilities
issues
The capabilities of communities in terms of quality and quantity
of trained technicians and local guards. Not enough technicians
because attempts to train have not been accompanied by
sufficient incentives
Governance challenges The equitable sharing of project proceeds, issues of
transparency and accountability in project implementation,
grassroots co-ordination of project resources
Funding constraints The poor financing of projects, timid in cash or in kind
contribution; unwillingness to pay user fees by project end-users
Source: Derived from fieldwork, 2015

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In addition to the key issues based on the interview questions employed during
field work by the research, a considerable number of additional themes arose, even
though they were not entirely independent but were nevertheless useful in relation to
the main aims of this study. It should be noted that these points were generated
through the course of the interview and were pointed out by the participants. These
emerging themes are displayed with key issues categorized in Table 4.9.
Table 4.9: Emerging themes in the analysis
Emerging themes Key issues
Stakeholder networking/
resources coordination at
grassroots level
There is active interaction between sub-committee and
project end-users in matters of mobilising grassroots
resources for the ongoing implementation of community
self-reliant projects
Motivation/
Involvement of traditional
leaders
The relationship between project caretakers and
grassroots members is not cordial because they feel that
those managing the projects are making a living out of
it. The financial incentives given at the moment are very
discouraging to young technicians, resulting in their
often abandoning their roles. The exemption of
traditional rulers from project-related charges is
symbolic to the community people because they are seen
as custodians of tradition and the culture of the people.
Source: Major fieldwork, 2015
4.7: Scope and Limitations of the Study
This study seeks to understand why community management as a strategy has failed
to ensure the sustainability of community project despite its widespread popularity
among international, national and local NGOs. The study uses sustainability not to
mean profit maximization and its ramifications except for reference purposes. Instead,
sustainability for the purpose of this study is used with respect to ongoing effective
implementation of community self-reliant projects. The study did not consider the

165

entire populations of Cameroon; rather, it focuses only on the potential project
beneficiary populations and management committees in the North West Region of
Cameroon. The period considered for this study spans from 2005-15 with two
strategic years. The year 2005 corresponds to when responsibility for ongoing project
repairs and maintenance was transferred to local communities in the study area,
whereas 2013-16 is the period during which the whole field survey was carried out.
The period 2005-15 represents the post-project era, which is fundamental in assessing
the views of the grassroots people vis-à-vis the factors limiting the sustainability of
their community-managed projects.
Among the limitations encountered in the field was the fact that some
respondents could not read at all, while others were unable to read and immediately
understand the contents of the survey instrument during the pilot phases due to low
literacy levels. Many of them misconstrued the purpose of the study, as they felt that
it was intended to expose them as uneducated. During this pilot phase a few Mbororo
individuals contacted were suspicious and unreceptive to unfamiliar visitors partly
due to their culture. After the pilot phases, the interview guide and questionnaire
contents were adequately simplified for easy reading and understanding. The services
of three graduates were solicited to facilitate primary data collection. All the
graduates were groomed on the contents and purpose of the questionnaire, while those
that were not yet familiar with questionnaire administration were groomed on how to
approach respondents, especially the Muslim groups. The main purpose of the three
graduates was to serve as confidence-builders. The measures adopted after the pilot
phases and the collaboration of key individuals contacted mitigated the difficulties
encountered during major fieldwork.

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Another limitation to this study was the use of simple and concrete yes/no
responses rather than the Likert scale in which a respondent indicates a degree of
agreement or disagreement in a multiple choice type format. However, the Likert
scale was considered less suitable because the use of a survey questionnaire was not
to seek new ideas, beliefs and opinions about the phenomenon under investigation.
Instead, the intention for using a yes/no survey questionnaire was just to confirm
some of the findings and it was quick given the timeframe needed to complete this
thesis. So this thesis was not based on a survey questionnaire but rather on 12 in-depth
interviews and four focus group discussions.
The use of yes/no questions was to acquire data quickly from the grassroots so
that their views could be complemented or compared with those of top managers
(interviewees). The yes and no options ease the treatment of data which began with
weighting the data collected and the „yes‟ and „no‟ responses for each tick attributed
one point to allow for quantification. Since the rationale behind the use of the survey
questionnaire was to draw data from end-users and use the data to confirm the views
of top managers regarding issues undermining the sustainable management of
community projects, straightforward yes/no or agree/disagree options were preferred
to a Likert scale.
Conclusion
This chapter was dedicated to methodological choices with special emphasis on the
adopted research philosophy, approach, design, underlying variables, data collection
and analysis methods (Figure 4.8). With the aim of contributing to theory, the method
chosen to analyse data drawn from the four community-managed projects was
considered very critical to the validity, reliability and replication of the research

167

results. Considering the fact that high credibility will be attributed to the research
outcome if the most appropriate methods are employed, this chapter has clearly
justified the choice of the adopted methodological protocol. For instance, the
suitability of using multiple case studies design and descriptive analytical tools to
understand why the management of community projects has been a herculean
challenge in the North West Region of Cameroon were comprehensively explained in
this chapter. It is true that there exist alternative ways of analysing qualitative data
such as the computer-assisted qualitative data analysis software (CAQDAS)
technique. However, the adoption of Nvivo and Excel seemed to be the most suitable
analytical techniques in meeting the objectives of this study.
Figure 4.8: Adopted Research Methodological Framework

Source: Developed from research methods literature, 2015
Tertiary review
sources
12 in-depth interviews (open-ended
questions), 4 focus group discussions
Primary
phase 77 semi-structured questionnaires were
administered
Data collection methods
and instruments used
Secondary
phase
Exploratory multiple case
study design
Interpretivist philosophy
Inductive approach
Secondary
review sources
In-depth
interviews
Databases, catalogues,
dictionaries, bibliographies,
indexes
Document
reviews
Some annual reports, audit reports,
vision statement, newspapers, bulletins
and project objectives were reviewed
Primary review
sources
Journals, books, some
government publications,
newspapers
Theses, reports, some
government publications
Survey
questionnaire
Multi-case study design

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From the angle of data collection, the explanation of the data collection,
treatment and analysis was provided. This is vital to the acceptance of the replicability
of the research findings. Also, the supervisory expertise, resources and technology
employed in the data collection process give it the level of quality required. Putting
the study along the path of social science reasoning, the objectives are best achieved
using the requirements of interpretivism, which strictly follows the social science
route. The next chapter focuses on data analysis, interpretation and presentation of the
findings. The chapter is presented in sections and sub-sections based on the themes
and patterns of relationships in the research objectives.

169

Chapter 5: Analysis and Presentation of Findings
5.0: Introduction
Data analysis for this study which investigated why community-managed projects
have had limited sustainability in the North West Region of Cameroon (NWRC) was
carried out in terms of two categories of projects. The first category dwells on two
community-managed projects that are largely unsustainable while the second category
focuses on two community-managed projects that are fairly sustainable. The first and
second sections of this chapter show how knowledge of the cultural background of
project end-users and the changing climate influence the sustainability of community-
driven projects in the NWRC. The third section of the chapter dwells on governance
and technical challenges while the fourth section of the chapter addresses the common
funding challenges of community-managed projects in the NWRC.
These data have been analysed and presented in five main sections (5.1, 5.2,
5.3, 5.4 and 5.5) that are further broken down into sub-sections. Sections 5.1 and 5.2
dwell on the sustainability of community-managed projects in the NWRC with
respect to socio-cultural and environmental in vivo codes, which are descriptive in
nature as derived from the interviewees‟ own words. They include denied access to
shrines and sacred forests, desecration of sacred forests and shrines, exposure of
totemic sites, usurpation, increasing temperature and reducing rainfall, as well as the
impact of relief on the functioning of community-managed projects in the NWRC.
The analysis for sections 5.3 and 5.4 dwells on opinions associated with
governance and technical challenges such as subjective implementation of laws
governing community-managed projects, collaboration between project committee

170

members, unfair benefit sharing (giving to Caesar what is Caesar‟s and to God what is
God‟s), project providers determining who should and who should not be party to a
community project, elitist politics, transfer of tenure rights, inadequate coordination
of material resources, inadequately qualified technicians at grassroots level, issues of
motivation and/or incentives and possibilities of replacing defective committee
members. The analysis for section 5.5 dwells on views associated with funding
challenges such as exoneration of government services, absence of key members
soliciting funds, increasing running costs, limited knowledge of running costs,
payment of technicians and the absence of government policy to pay royalties to
communities which conserve their local environment and resources for mainly socio-
cultural and ecological purposes.
The qualitative analysis was complemented with quantitative data, drawn from
the responses of the project end-users and the numerical secondary data gleaned from
existing documents regarding the management of community projects in the four
selected case study sites in the NWRC.
5.1: Socio-cultural issues in the management of community
projects in the NWRC

Interview question: Do you think the project providers had adequate knowledge of
the socio-culture background of project end-users before implementing the
water/electricity/forest project?
The last decade has recorded the highest number of poorly implemented
community-managed projects (CMPs) in the North West Region of Cameroon (Njoh,
2011; Fonchingong, 2009). The reasons have mostly often been attributed to poor
funding. But following the views of informants during field work, socio-cultural

171

challenges seem to be most vital in the sustainability of CMPs in the NWRC. All
informants were unanimous that CMPs in the region are faced with socio-cultural
challenges which riddle their effective implementation. As quoted from one of the
participants:
„…Many project providers in the NWRC seldom consider the socio-cultural
and anthropological background of project end-users as being important in
the sustainable management of community-driven projects even though the
people in this part of the country are so attached to their culture and the
traditional institutions they incarnate‟ (informant B1).

One of the revelations of the findings is that the project providers often
focused more on putting in place the projects than on the fundamental elements
required guaranteeing the sustainability of those projects. These include neglect of the
cultural practices and demystification of the belief system of project end-users, the
non-respect of traditional authorities and institutions and traditional priests of shrines,
existing socio-political structures, violation of taboos and traditional off-days. From
the descriptions given by the interviewees, these socio-cultural elements have a
bearing on the long-term effective running of community-managed projects in the
NWRC. This was supported by an informant who said:
„…The NWRC is one of those regions in the country where the people are still
very closely attached to their culture and traditional institutions. Yet it does
not make any meaning to project providers. Quite often, limited or no time at
all is spent on understanding the role the culture of a people whose life
revolves around their socio-cultural and traditional institutions can play in
the life of any project in the NWRC. Whenever limited contacts are made
between project providers and end-users, there is a very high probability that
socio-culturally-related conflicts will emerge and will undermine the life of
even community-driven projects‟ (informant B2).
It is visible indeed that the four community-managed project areas in the
NWRC indicate that there were many socio-culturally-related issues that threatened
the sustainability of two of the four projects, while the other where the socio-cultural
components were integrated exhibited fair sustainability. For those with precarious

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sustainability, the interviewees were of the view that many of the conflicts were due
to ignorance and neglect of the socio-cultural and anthropological background of
project end-users. An interviewee in the Jam Jam neighbourhood in the Bali
community water project area stated that:
„…Many of those who later became community water providers in Bali
Nyonga did not exactly know that the Bali community water project started
from a socio-cultural perspective. The informant expounded that the idea of
the Bali community water project came into being when Fon Galega I
converted an indemnity that was paid to the Bali people by the Widikum Clan
into a social project – pipe-borne water – for the benefit of his entire subjects.
As he explained, the project began as a Ram water plant that was constructed
by a German Hydroplan at Mbadmandet village in Bali. When construction
work ended in 1957, the Ram water system was handed to the then Bali Rural
Council and its technical management was supported by the Public Works
Department (PWD) in Bamenda, although Bali community members had to
pay maintenance fees with the exception of the Palace (interviewee B1). The
views of the interviewee were confirmed by existing literature (Titanji et al.,
1988 and Nteh, 2009).
Another interviewee who was part of the Bali water management committee
team explained that the Palace was exempted from paying the maintenance fee for
two main reasons. The first was the socio-cultural regard the people of Bali have for
their Fon and the regulatory society known as Kwifon, of which he is the custodian,
and the second was the role the Palace had played in converting the indemnity to a
water project. The interviewee expressed indignation about the fact that later project
providers of Bali community water also exempted government services, thereby
breaching the socio-cultural ties that give a sense of ownership and participation to
Bali people towards the water supply project.
„…In his opinion, when Société Nationale des Eaux du Cameroun (SNEC) took
over the Bali Community Water project in 1984, it decided to consider the
Palace as just one of the public institutions among others such as government
services. That equality approach demystified the aura of fear and mystery that
usually surrounds the Palace, and therefore rendered it banal, to the
disapproval of the ordinary Bali person. SNEC, as he said, was run by
French-speaking Cameroonians who are seldom associated with self-reliant
development and do not value the attachment of the North West people to their

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socio-political institutions. So they did not see why only the Palace should be
exempted from paying maintenance charges, and they went ahead to
exonerate all government services such as the Sub-divisional office,
Gendarmerie Brigade, Police post, Special branch police post, health units
and educational units, particularly as they were headed mainly by French-
speaking Cameroonians‟ (informant B3).
Another member of the Bali community water management committee
explained that the exemption of government services, to which the local population
did not owe any socio-cultural allegiance, discouraged the ordinary Bali man from
paying maintenance fees. This breach in socio-cultural ties marked the beginning of
sustainability problems in the Bali community water project, the interviewee
intimated. In corroboration, the informant said that although SNEC was ousted in
1994 by the people of Bali and a body called Bali Community Water Supply
(BACOWAS) was created to take over management, the status quo put in place by
SNEC was maintained.
In the opinion of the interviewee:
„… BACOWAS was different from SNEC only in terms of personnel and not
policy. Inheriting all the socio-cultural and anthropological problems that
SNEC bequeathed, it was evident that the sustainability of Bali community
water project was not guaranteed even with BACOWAS. The non-socio-
cultural distinction in the exoneration of government services was considered
by the beneficiary population of Bali as disrespect for their traditional ruler
and cultural practises. This disregard for the socio-cultural and political
institutions of the project end-users and their functioning greatly undermined
the sustainability of the Bali Community Water Project, Mbai community
forest project and many other community-managed projects in the NWRC‟
(informant B3).
This implies that whenever project providers incorporate the socio-cultural
elements of project end-users in the entire frame of a community-managed project,
the chances of the project being sustainable will be greater and the reverse is true. The
findings actually demonstrate the important role the socio-cultural and
anthropological background of a people can play in the sustainability of a community-
driven project. Both informants and respondents agreed upon the significance of

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incorporating the cultural and anthropological background of project end-users on the
sustainability of community-managed projects in the North West Region of Cameroon
(NWRC). Here are some of the responses of the participants to the survey
questionnaire regarding whether limited regard for the socio-cultural practices and
institutions of the project end-users was responsible for the dwindling sustainability of
projects that are community-managed in the NWRC (Table 5.1).
Table 5.1: Views of respondents on whether limited regard for socio-cultural practices
riddles the sustainability of Community-Managed Projects in the NWRC
Project
site
No. of
respondents

Does limited regard for socio-cultural
practices of project end-users by project
providers riddle the sustainability of
projects in your community?
Agree Disagree No idea
Bali 29 26 0 3
Fundong 14 1 12 1
Kingomen 7 1 6 0
Mbai 27 23 0 4
Total 77 51 18 8
% 100 66.2 23.4 10.4
Source: Drawn from fieldwork, 2015

From Table 5.1 it is observed that most of the respondents confirmed the
assertion that project providers in the NWRC do not consider the socio-cultural
practices of project end-users as integral parts of the ongoing implementation of
community-managed projects. A total of 66.2% response score against 23.4% agreed
that the disregard of socio-cultural institutions and practices actually marred the
sustainability of their community-managed projects, particularly in the Bali and Mbai
project sites. As for Fundong and Kingomen, almost all the respondents were
unanimous that their community water and electricity projects respectively, integrated
the socio-cultural aspects of project end-users, which largely reduced internal
problems. In corroboration, an interviewee in Kingomen made a distinction between
what she called internal and external problems

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„… socio-cultural issues are more internal since they form the entire day-to-
day life of project end-users and the project end-users master their intricacies
better. The entire traditional authority in Nso is in favour of the Kingomen
small-scheme hydro-electricity project. The problems facing the project do not
have anything to do with the socio-cultural life of the local people‟
(Interviewee K2).

The logic of her argument appeared very tenable as she concluded that
incorporating the beneficiary socio-cultural considerations is most fundamental in
determining the sustainability of projects that are community-managed since they
directly affect the social life of people in their community. Informants in the Fundong
and Kingomen project areas unanimously acknowledged that their socio-cultural
institutions and practices were integrated into the project management processes
thereby enhancing their sustainable. The opinions of the interviewees were confirmed
in the existing literature on community management of projects in the North West
Region of Cameroon (Ngala, 2012; Ako et al., 2010; Fonchingong and Ngwa, 2006).
Interview question: What do you think is the future of community-managed
projects without due consideration for the socio-cultural sites and social life of the
beneficiary population by project providers?
The informants from all the four project areas were unanimous that only a few
project providers in the NWRC have understood the importance of incorporating the
socio-cultural aspects of end-users into community-managed projects. Many
contemporary project providers in the region keep neglecting that fact even though
community-managed projects such as community forests/water/hydro-electric power
are among the most sensitive to socio-cultural considerations. An informant was
asked whether the creation of community projects has affected the cultural sites,
practices and social life of people in their community and the interviewee made
allusion specifically to the Mbai community-managed forest conservation. He argued
that:

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„… the acquisition of the Mbai community forest conservation project in the
NWRC, particularly from 1995 to the present, made it difficult for priests of
shrines and sacred groves to commune with their ancestors due to the fact that
the shrines and sacred groves were carved and put within the community
forest area, and were henceforth owned and controlled by community forest
management institutions. The traditional landlords were not considered as
one of the users‟ groups, which included wood carvers, bee farmers, rat
trappers and tradi-practitioners‟ (informant M1 in Tankiy neighbourhood).
In addition, during a focus group discussion with some members of the
Fundong water management committee board, they said that some community-
managed water projects elsewhere in the NWRC created problems of non-recognition
and usurpation of the rights of traditional landlords, which impacted negatively on the
sustainability of community-driven projects. An interviewee in Buh shared his
experiences as the traditional landlord of Tadu, specifically the neighbourhood of
Kidzem within the Mbai community forest area. The interviewees held that:
„… in 1972, an NGO called the Swiss Association for Technical Assistance
(SATA) was contacted by the grazing Muslim community in Tadu to provide
water to Tadu community. All traditional negotiations were made and the
project took off well. But the situation changed from the 1990s with the advent
of multi-party politics in Cameroon. The Muslim community began
discriminating and depriving residents of Kidzem and accusing them of
throwing waste (such as condoms) into the water tanks and using the water to
produce corn beer. When the residents of Kidzem contacted the traditional
landlord for negotiations, the Muslims ignored him and even when the
residents of Kidzem proposed having a separate scheme, the Muslims rejected
the proposal. After challenging the authority of the traditional landlord, they
were not satisfied and rather used a lot of money to influence the
administration to apprehend the traditional landlord‟ (informant M2).

This view has been supported by another member of the Mbai traditional
council who explained that the arrest of the traditional ruler of Tadu brought in an
atmosphere of tension, suspicion and hatred between the different ethnic groups in the
community to the extent that after his release, the traditional landlord used his sho-oh
ngven1 to solicit the ancestors to intercede on his behalf. The interviewee noted:

1 A calabash containing raffia palm wine and a peace plant which is entrusted to a traditional landlord
by the Fon as a sign of acknowledgement of his tenancy over a tract of land.

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„… When the traditional landlord used his sho-oh ngven and performed
counter rites in his shrine near the catchment area, water availability became
a problem. This confirms the spiritual powers of the traditional ruler in
matters of sustaining development‟ (informant M3)

A member of the community forest guard added that even when experts from
another non-governmental organization (NGO) called HELVETAS took over from
SATA, and attributed the shortage of water in Tadu to climate change and proposed
reforestation, which was done with technical assistance from the National Agency for
Forest Development (ANAFOR), the problem persisted. As a result, the Tadu Water
Management Committee (TWMC) resorted to water rationing to no avail and by 2007
the situation deteriorated and the Tadu scheme was having water only in July, the
interviewee noted. In 2014, Kidzem neighbourhood negotiated with the traditional
landlord and got its water from a different catchment and the flow had no problem.
The Muslims in the TWMC attempted to negotiate behind the scenes with Kidzem
community in vain and in early 2015, the TWMC was forced to dialogue with the
traditional landlord. After paying cleansing charges, other traditional rites were
performed at the catchment again and water started flowing from March although it
could not supply the entire Tadu community in the Mbai area.
The dwindling sustainability of the Mbai community-managed forest
conservation project can be understood better through the concept of mother and
emerged villages as succinctly described by Enchaw in 2009. An informant
representing one of the Mbai community forest management institutions noted that:
„… The unprecedented growth in the number of settlements in and around the
Mbai community forest areas has reduced its size. This is caused by
increasing human activities such as farming, grazing, calving, building and
hunting actions in and around the forest area‟ (informant 3).

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Field informants acknowledged that the local populations have been migrating
from mother villages at lower altitudes to settle in farmsteads on the upper slopes of
Mount Oku as a means to reducing the distance trekked to and from their farms.
These farmsteads, which usually grew in numbers as relations and friends joined their
peers, subsequently became transformed into permanent residences, and later on
became villages. Some of these emerged villages became recognised with time and
featured on census lists as independent villages (Table 5.2).
Table 5.2: Emergence of villages in and around the Mbai Forest conservation area (1958-
2015) and the impact on its sustainability
Mother villages Primary emerged villages Secondary emerged villages Prospective
emerged villages
Villages Recognition
period
Villages Recognition
period
Villages Recognition
period

Ntur Before 1958 Kai 1969 Tangkiy 1987 Taashem
Vekovi Before 1958 Mbockenghas 1969 Ntovi 1987 Shuukov
Buh Before 1958 Simonkoh 1969 Lum 1987 Mboshua
Elak Before 1958 Kisottin 1969 Wven 1987 Mbo-shimawir
Keyon Before 1958 Mbockjikijem 1969 Kidzem 1987 Ntol
Jiyane Before 1958 Ibal 1976 Tumuku 1987 Ketokwack
Ichim Before 1958 Ibal-Ichim
Lang Before 1958 Tolon
Mbockevu Before 1958 Chianka
Ibal Before 1958 Mbouaka
Ngemsiba Before 1958 Mejong
Ngvuinkei I Before 1958 Soalam
Mbesa Before 1958 Ngemsibo
Anyajua Before 1958
Tadu Before 1958
Total 15 6 6 13
Source: Fieldwork, 2014-15. Mbai site village* Non-Mbai site village

Table 5.2 shows that 15 villages (mother villages) considered to have
territories in and around Mbai conservation were created before 1958. This
observation is supported by the 1963/64 and 1984 aerial photographs and the 1958-84
Landsat ETM2 image of the Kilum-Ijim Forest Project (KIFP) area. Following the

2 Enhanced thematic mapper

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criteria adopted by the project for villages liable to establish a forest management
agreement (FMA) with the forestry administration as single or joint communities,
these 15 villages are the only mother villages considered to have territories in the KIF
area and the rest are primary and secondary emerged villages. Some potential mother
villages that were not part of the FMAs were Buh, Tadu, Djottin, Mbam-Oku, Kichu,
Elwin and Achain. A further eight villages that emerged in the course of time were
added to the 15 mother villages and five of these six villages featured on the 1969
Census list while one featured on the 1976 Census list. After 1976, another group of
six villages emerged and featured for the first time on the 1987 Population and
Housing Census list.
During fieldwork, it was observed that 13 large settlements with potentials of
villages (as seen on Table 5.2), were quite close to the forest conservation area and up
until October 2014 (personal observation) no official document acknowledges them as
full villages. An informant supported this view by acknowledging that:
„… in 2010 when the results of the 2005 national census were released some of
these newly created settlements featured on the census sheets as autonomous
villages. Others gained this status in the course of time but no official
document, as of 2015, carried them as full villages. The growth of these
villages is at the expense of protected forest as large portions are cleared up
for either settlement or farming activities‟ (interviewee M3).

It should be noted that the three individuals interviewed in the Mbai project
site were unanimous that the Mbai community forest conservation project is found in
an area where there are lots of land tenure problems between local stakeholders (Oku
and Nso fondoms) with vested interests in the community forest resources. An
informant who was part of the management team stated that:
„The traditional landlords performing sacrifices in Mbai community forests
are from Nso, although migrants from Oku have shown interest in becoming

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part of the project, but the Nso traditionalists are not willing to accept them‟
(informant M3).

A similar opinion was put forward by an interviewee in Buh Village, who is a
traditional landlord of a patch of forest which is part of the Mbai Community Forest.
He noted that those providing community-managed projects in the NWRC have quite
often neglected the socio-cultural and anthropological background of the project end-
users. Using a geographico-anthropological approach, the informant said that:
„As concerns the management of the community forest (MCF) and other
community forests in the NWRC, the first thing is that the region is
predominantly a grassland area, referred to as the Grassfields, and many of
the community forests (CFs) are concentrated in relics of montane forests and
gallery forests in catchment areas. These montane and gallery forests are
largely the abodes of the gods of the people and that is why many of them
consist of sacred groves and shrines. These abodes of the gods were
successfully conserved through traditional means even before the advent of
community forestry (CF) in the country in 1995, which was the application
phase of the 1994 Forestry and Wildlife Law that instituted the concept‟
(informant M3).

When the respondents were asked whether the putting in place of community-
managed projects without due consideration of the cultural sites (shrines and groves),
practices and social life of the project beneficiaries threatened the sustainability of
CMPs in the region, their views revealed that the non-integration of socio-cultural
sites, practices and social life of project end-users in the entire frame of community
catchment and forestry management led to wanton denial of access to sacred groves
and shrinesas (Table 5.3). All the 77 grassroots members who participated in the
survey questionnaire were of the view that some community-driven projects in the
NWRC have led to denied access to sacred groves and shrines.

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Table 5.3: Responses of respondents on whether the future of community projects is not
guaranteed without due consideration of the cultural site and social life of project end-
users by the project providers in the NWRC
Project
type
No. of respon-
dents
Do you agree or disagree that failure to
consider the cultural sites and social life
of project end-users in the entire frame
of community project management
affects sustainability?
Agree No idea Disagree
Bali CWP 29 29 0 0
Fundong
CWP
14 14 0 0
Kingomen
CEP
7 7 0 0
Mbai CWP 27 27 0 0
Total 77 77 0 0
% 100 100 0 0
Source: Drawn from fieldwork, 2015

From Table 5.3 it is observed that all the respondents were unanimous that
those providing projects to their local communities in the NWRC have made very
limited efforts to recognise the sacred sites or understand the beliefs and social life of
the people in and around the project areas or catchment.
In line with these responses, an interview in the Mbai project area pointed to
the fact that the non-consideration of natives‟ socio-cultutal practices and sites
reduced the chances of the project provider having a good knowledge and
understanding of the inextricable link that exists between nature and the socio-cultural
and anthropological life of the local people in the villages adjacent to the community
projects. As quoted by the informant:
„… the project provider did not understand the type of socio-cultural and
tenure relationships existing between the villages of Buh and Tadu (mother
villages) on the one hand, and Lum, Ntovi, Simonkoh and Tangkiy (emerged
villages) on the other. Similarly, the project provider did not understand the
socio-cultural and religious relationship existing between the traditional
landlords and the forest. If these aspects were well taken care of, traditional
landlords could have been considered one of the user groups of the forest and
forest resources‟ (informant M2).

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Interview question: Do you think that disassociating traditional belief
systems in the management process of community projects engenders socio-cultural
conflicts which threaten the sustainability of CMPs in the region?
5.1.1 Traditional off-days and conflicts in CMPs in the NWRC
Traditional off-days or Country Sundays, where there are joint resources, were
noticed in the field to be a source of socio-cultural conflicts that threatened the
sustainability of community-driven projects. An interviewee in Simonkoh explained
that:
„…traditional off-days are those days of a traditional week which are reserved
for the gods of the land. The informant said that during these days, which are
often two, no one is authorised to go to the farm or forest or specific streams
because his or her presence will disturb the tranquillity or activities of the
gods of the land‟ (interviewee M2).
It was noticed during fieldwork that these two days differ between different
cultures although they carry the same symbolism. An informant in Bali explained that
for every culture, the first traditional off-day marks the day the pioneer, traditional
and spiritual and religious ruler of the land died, and the second traditional off-day
stands for the day he was sent to join the other ancestors. This is the reason for which
the two traditional off-days are successive, the informant noted. Since there were no
means of preserving corpses for several days, the tradition was that one night of
wake- keeping was enough. Country Sundays in some cultures in the NWRC are
Ambelle: agor and abekum, Bali: foncham and nko‟ntan, Kom: tu-boli and-tu-i-yui,
Nso: nguelum and kiloveiy, and Oku: ngockse and nsanen. The issue of traditional off-
days created internal and external conflicts that affected the sustainability of
community-driven projects, particularly community forests in the NWRC (Table 5.4).

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Table 5.4: Views of respondents on whether the violation of traditional belief systems
(taboos) engenders conflicts that undermine the sustainability of community-managed
projects in the NWRC
Project
site
No of
respondents
Do you agree or disagree with the
idea that your community projects
tend to demystify traditional belief
systems, leading to violation of
taboos such as traditional off-
days?
Is it true that a conflicting
relationship between project
providers and Kwifon (priest of
shrines and sacred groves) riddles
the sustainability of CMPs?
Agreed Disagreed No idea Agreed Disagreed No idea
Bali 29 25 0 4 29 0 0
Fundong 14 12 0 2 14 0 0
Kingomen 7 7 0 0 7 0 0
Mbai 27 27 0 0 27 0 0
Total 77 71 0 6 77 0 0
% 100 92.2 0 7.8 100 0 0
Source: Drawn from fieldwork, 2015

The responses of the respondents as presented on Table 5.4 clearly indicate
that socio-cultural ties are still very strong in the NWRC and are determinant in the
sustainability of many community-managed projects in the region. From Table 5.4 it
is observed that 92.2% of the respondents were of the view that projects such as
community forests have been effective in demystifying traditional beliefs and have
led to the violation of taboos such as traditional off-days. This aligns with the views
of an informant in Mbai village who stated that:
„…when patrol team members assigned with monitoring the community forests
are mixed or come from different cultures which do not coincide, it will be
obvious that respect for the traditional off-days in Mbai will be susceptible to
defiance‟ (informant M2).
The forest management officer (FMO) of Mbai community forest who was
one among the three interviewees in the Mbai area said that the issue of traditional
off-days also created a number of socio-cultural conflicts that amplified the threats to
the sustainability of community forests in North West Region of Cameroon (NWRC).
Corroborating this assertion, the informant said that:

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„… if we take the case of Mbai community forest, it will be realised that, some
villages are in Nso Fondom, while others are in Oku, and these two fondoms
do not have exactly the same traditional off-days. The informant pointed out
that this aspect of traditional off-days was not taken into account by Birdlife
International, which was operating under the umbrella of the Kilum-Ijim
Forest Project and it created internal problems among the members of forest
patrol teams. He said patrol team members from Oku usually accused those
from Nso of violating their traditional off-days and vice-versa‟ (informant
M2).
This was because patrol team members from Nso did not see why they should
not go to the forest during a „country Sunday‟ that they do not respect, and vice versa.
These internal conflicts were not resolved and they kept undermining the
effectiveness of the patrol team as they became afraid of becoming victims of
surreptitious punishment. This is just one of the socio-cultural challenges that affect
the sustainability of community forests and other community-driven projects in the
NWRC although other factors, which are associated with environmental, economic,
technical and governance challenges, also contributed.
Interview question: Apart from the neglect of the traditional beliefs of end-
users by project providers as you rightly said, what do you think is the future of a
community project without due consideration of the socio-political structures that
the project beneficiaries incarnate?
5.1.2 Socio-political structures and conflict in community-managed projects in the
NWRC
At grassroots level, issues of land tenure, resource ownership, management and use
are addressed by socio-political structures. Quite often these structures are excluded
from the community project planning and decision-making phase, making community
management of basic projects a problem rather than a solution to ameliorate the
wellbeing of people in deprived communities. During an interview in Simonkoh, a
forest management officer of the Mbai community forest explained the issue of tenure
and tenure transfer, and noted that the transfer of tenure rights has been one of those
socio-cultural indicators that directly affect the sustainability of community-driven

185

projects in the NWR of Cameroon. The interviewee referring to community forest
held that:
„…community-managed forest conservation projects commonly called
community forestry, were and are a government eco-centric construct for
ecological purposes, without any regard for the institutional value of the
people in the country in general and NWRC in particular. The informant
explained that the non-integration of the cultural institutions of the people into
community-driven projects in general and community forests in particular, is
creating conflicts between the Fon (head of traditional institutions) who is the
custodian of the land and members of forest management institutions (FMIs)
who are running the community forests‟ (Informant M3).
In addition, another interviewee explained that many of the conflicts between
the forest management institutions (FMIs) and the traditional authorities (kwifon, fon
and traditional landlords) in Kom, Nso and Oku stem from the fact that these
traditional authorities accuse Birdlife International and the forestry administration
(Government of Cameroon) of having transferred tenure rights from existing socio-
political institutions making decisions on the ownership and management of natural
resources at grassroots to young people who have no legitimacy in matters of tenure at
grassroots level (Figure 5.2).
Figure 5.2: Transfer of tenure rights from traditional landlords to people who do
not have authority in matters of tenure in the Mbai community forest area

Degree of control

Traditional landlords
with tenure rights
Users of land with no
tenure rights
Tenure in the hands of
traditional landlords
(Before 1974)

Leasing of land
to users
(Before
1974 and
1974-
1994)
Users’ gained
tenure rights

Traditional landlords’
lost tenure rights
Community forestry
Law adoption
1994-95
Formation of FMIs
(1995-2000)
Transfer of tenure
(2000 to present)

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Source: Conceived from Mbai community forest archive, 2015
A field informant who happened to be a representative of one of the traditional
landlords in the Ngongbaa area expressed much indignation regarding the fact that
those to whom they leased land for farming have constituted themselves into villages
and have become the managers of their forest. The informant was making allusion to
the villages of Mockenghas, Tangkiy (Fonmboh) and Simonkoh. In the field, a
general pattern of progressive colonisation of the fertile upper slopes of the Mbai
community forest was noticed. Field informants acknowledged that the local
populations have been migrating from mother villages at lower altitudes to settle in
farmsteads on the upland as a means to reducing the distance trekked to and from the
farms. These farmsteads, which usually grew in numbers as relations and friends
joined their peers, subsequently became transformed into permanent residences, and
later on became villages, thereby provoking encroachment into the Mbai community
forest conservation project area. In the communities of Lum, Ntovi, Simonkoh and
Tangkiy, which own the Mbai Community Forest (MCF), those who responded to the
survey questionnaire and interview guide were unanimous that community forestry in
the NWR and the entire country was not sustainable due to socio-cultural,
environmental, governance, technical and economic challenges.
All three interviewees in the Mbai community forest project area shared the
same view that within the socio-cultural domain, community-managed forest
conservation projects where exogenous NGOs such as WWF and Birdlife
International with public utility status play the role of project providers, the
government through these NGOs imposes who is to manage the forest and what is to
be done in the forest with no regard for the socio-cultural and anthropological
background of the project end-users. An informant in Mbai forest area explained that:

187

„…most often, some of the project providers and younger peoples in the
communities use the pretext of existing tenure laws, which prescribe that all
land belongs to the State, to perpetrate land tenure atrocities against the
traditional leaders who are locally regarded as the custodians of the land and
the totems therein. This approach creates a situation of competition which is
articulated around us-versus-them. Such an atmosphere gives room for law
enforcement, which is characterised by policing and reprisal measures, all of
which succeed only within the few years that the NGOs are in the field to
sponsor the activities of the project, the informants pointed out‟ (informant
M3).
Similarly, an informant in the Kingomen community electricity project argues
that combining a law enforcement approach and a participatory approach by project
providers in the same communities, and without enough sensitization, is a clear
nurturing of a missing link. Law enforcement and policing measures are important
and recommended, but when it is clear that they will be counter-productive, a more
appealing strategy could be sought, the interviewee noted. One informant in Lum
village, a neighbourhood of Mbai community forest, asserted that some of the
atrocities which are in the form of desecrating the abodes of the totems at grassroots
level are often fought back by the gods of the land through surreptitious punishment
inflicted on defaulters of the customs. The informant explained that:
„…at times the gods become aggressive towards the resources which they
consider are being exploited illegitimately. Their aggressiveness is expressed
in the form of surreptitious vandalisation of the resources intended to be
conserved through community forestry. For instance, 12 separate forest fires
have been recorded in the Mbai community forest project site and among
these fires three spread from farms into the forest. The other nine originated
mysteriously from within the heart of the forest either on grasslands or from
inaccessible valleys‟ (informant M1).
The NWRC is quite heterogeneous, with a segment of its population made up of
indigenous people who have enriched the socio-cultural values and institutions of the
region. This peculiarity of the socio-cultural values and institutions of indigenous
groups in the sustainability of community-managed projects can be perceived from
the role played by the Mbororo. Interviewees in Bali were of the opinion that

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segments of some communities in the NWR of Cameroon that are made up of
Mbororo indigenous peoples, carry out community water projects without taking a
holistic socio-cultural approach. The 1st Deputy Mayor noted that:
„… Mbororo indigenous peoples are graziers and by their migratory culture
their dwellings are temporary and these are the reasons for which they settle
on high relief pasturelands in single-room huts. As a group that upholds the
values of decency and socio-cultural morality, they prefer potable water
points to be at great distances from their dwellings. This informant opined that
Mbororo children need to go and fetch water very far so that before they
return, the parents must have had the opportunity to make more kids‟
(informant B1).
A Mbororo informant in the Fundong community water project area confirmed
this assertion of the 1st Deputy Mayor of Bali. This Mbororo informant said that this
practice was rife among them when they were still not sedentary and living in huts. As
he said, their current sedentary practice has made a few of them start constructing
permanent multiple-room dwellings that can ensure privacy at any moment although
some others still live in huts and their socio-cultural attitudes have not changed. The
interviewee decried the fact that project providers do not make any effort to
understand and incorporate this socio-cultural dimension of the Mbororo, which is
very fundamental in the sustainability of the water projects. As they said, quite often
project providers consider the Mbororo indigenous group to be uncivilized and
working against the development of the community, particularly as Mbororo,
wherever they settle in the NWR and Cameroon, is a subsumed entity of a main
community. As one informant in Fundong narrated:
„… Whenever the Mbororo ethnic group notice that project providers have
marginalised them or want to go against their socio-cultural way of life, they
simply refuse to collaborate. When they refuse to collaborate, project
providers usually used the law and policing measures to realize the project in
their neighbourhood. This usually becomes a source of conflicts and quite
often the installations are vandalised shortly after the project is realized,
particularly as the Mbororo live close to the catchment areas‟ (informant F3).

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An informant in the Bali water project sites attested that the Mbororo usually take
their animals to drink in some collecting chambers to express their disapproval, acts
which lead to water pollution.
5.2: Participants’ views on environmental influences on
community project sustainabilityin the NWRC
Prevailing environmental conditions in the North West Region of Cameroon (NWRC)
greatly influence the sustainability of community-driven projects, although with
varying degrees depending on the type of project and the site occupied by a
community. Among the environmental challenges advanced by field informants are
varying relief, drainage, climate and climate change. The natural environment of the
NWRC is predominantly high relief area, thus the name Western Highlands (Kometa
and Ebbot, 2012; Enchaw, 2009). The relief is quite undulating and greatly influences
settlement sites due to historical factors of security and the type of livelihood
activities carried out by the different communities, as indicated by the views of the
interviewees and responses of the respondents in the four study sites (Table 5.5).
Interview question: What is the attitude of those people living in high relief
parts of your community towards supporting the ongoing implementation of the
water supply/hydro-electricity/forest conservation project?
In the study sites of Bali, Fundong and Kingomen, interviewees threw more
light on how environmental factors keep undermining the sustainability of their
community-driven projects. The 1st Deputy Mayor in Bali explained that:
„… pipe-borne water in Bali Sub-division has gone through three main phases
and all the phases have been affected by relief and other environmental
challenges. The informant specified that the ram pumping system which was
the first and started in 1957, was limited to the neighbourhoods of Jingong 1,
2, 3, and 4, Boh, Mbadmandet, and Bawock villages found in the low-lying
central part of Bali as the ram could not pump water to high relief settlements
such as Koppin and Mantum, which are the highest altitude villages in the

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sub-division and were not supplied with potable water, the informant noted. In
corroboration, the interviewee said that the ram pumping system provided
only public taps at strategic junctions of the neighbourhoods that were
supplied due to its limited carrying capacity‟ (informant B1).

The second phase of the pipe-borne water in Bali, the interviewee noted, was
the electric pumping system brought by SNEC in 1984 and the third phase is the
current one, which is the gravity system which has been introduced to supplement the
electric pumping system. Using a gravity system means that all settlements below the
catchment will seldom be supplied by the distribution centre, the interviewee noted,
and went on to state that SNEC had to suspend taps that were already functional in
some upland villages due to the high cost of pumping the water. Similarly,
participants in a focus group discussion held in the upland neighbourhood in Bali said
that:
„…the suspension from SNEC was welcomed by the entire grassroots because
they were served monthly bills when they had not consumed any water, as only
air was flowing from their taps and not water. The participants said that the
situation was being compounded by the prolonged dry season and reducing
and erratic rainfall events in Bali. According to them, Bali has been
witnessing a situation whereby temperatures are increasing and rainfall is
reducing in the course of time‟ (informant B2)
Interview question: How do an increasing number of days of no rainfall and
reduced water discharge from the aquifer in the catchment area affect the
sustainability of community water supply/hydro electricity/forest conservation
projects?
Existing climatic data from the Regional Meteorological Centre in Bamenda
threw more light on the assertion of the informants. In this centre, it was observed that
climatic data that was already processed for easy exploitation by researchers at the
time of study was that ranging up to 2005. But the period that made more meaning to
our study ranged from 1998 to 2005 (Table 5.5).

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Table 5.5: Temperature and Rainfall Variability in the NWRC (1998-2005)
Month
Years
J F M A M J J A S O N D Mean
annual
Total
1998 14.4 18.1 18.2 20.2 19.6 19.2 18.5 18.7 18.7 18.5 19.5 19.8 19.4
2000 °C 20.4 21.6 21.6 20.5 20 18.9 18.4 18.4 19.1 18.7 19.9 19.8 19.8
2005 °C 20.4 21.9 23.5 20.4 22.3 18.8 18.3 18.2 18.4 18.5 18.9 20.3 19.9
2010 °C 24.9 24.1 22.6 23.5 24.5 22.5 22.2 22.5 23.6 23.6 25.4 24.9 23.6
Average °C 20.1 23.9 21.5 21.2 21.6 19.9 19.3 19.4 19.9 19.9 20.9 21.2
1998 Mm 0 0 26 270.5 243 293 553.2 418 598 390 19.2 11 235.2 2821.9
2000 Mm 47 116.5 220.3 233 244.3 456 237.8 214.8 505.5 411.8 331 79 258.1 3097.6
2005 Mm 0 0 81.4 338 280 354 314.5 316.8 665.3 555.2 1.45 0.75 242.3 2907.8
2010 Mm 17.9 22.1 212.6 216.4 298.2 428.4 352.6 490.3 354.7 218.4 70.4 3.2 223.7 2684.8
Average Mm 16.2 34.7 136.1 264.5 266.4 382.8 364.5 359.9 530.9 393.8 105.5 23.5
Source: Regional Meteorological centre, Bamenda, and fieldwork, 2015

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It is noticed from Table 5.5 that temperatures increased from 14.4°C in 1998
to 20.9°C in the year 2010 for the month of January. During this same period,
particularly from 2000 to 2010, rainfall decreased from 3,097.6mm to 2,684.8mm.
During the dry season of 2010, which lasted from October to March, the temperatures
were high with a maximum value of 25.4°C within this period recorded in November,
while a minimum value of 22.2°C was registered in July. The mean annual
temperature of Bali Sub-division has increased from 19.4°C in 1998 to 23.6°C in
2010. The impact of the increasing temperature on the amount of rain that falls in Bali
per year is in two dimensions. The first is that the length of the dry season is
increasing steadily in Bali and the second is that the number of days of rainfall in Bali
is reducing with time. These observations were confirmed by an informant from the
Regional Meteorological centre in Bamenda. In the opinion of an informant:
„…these climatic events were recent but generalised phenomena in the entire
NWR of Cameroon. He pointed out that such fluctuations in rainfall and
temperature have affected the discharge of springs, streams and rivers in the
North West Region of Cameroon and have equally led to the emergence of
new diseases that affect crops, particularly coffee, Irish potato and a species
of cocoyam also called colocassias‟ (informant B1).

Plotting the aggregated mean rainfall and temperature values obtained from
the centre in the form of an ombrothermic diagram for the period 1998 and 2010
(Figure 5.3) shows these climatic abnormalities clearly. This is indicative of the
threatened sustainability of community-managed projects in the NWRC by
environmental challenges such as relief and climate change.

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Figure 5.3: Ombrothermic Diagram of the NWRC (1998-2005)

Source: Drawn from mean rainfall and temperature data on Table 5.6
An informant from Ngwainkuma village in the Fujua-Fundong-Mentang
community water project site shared the same view. When asked to comment on the
influence of climate-related issues on the sustainability of their water supply project,
he said that:
„…their community-managed water is gravity-driven, and those who live in
high relief areas usually face problems of water shortage during the dry
season. In addition, he said that there is a new phenomenon whereby the dry
season starts before the end of September and extends to April, and during this
period, some of their taps flow with very low pressure, while others do not
flow at all and when it rains heavily, they face problems of water pollution
(informant F3).
In the Kingomen project site, the issues of prolonged dry season, erratic
rainfall, and rain of high intensity were said to influence the volume of water in the
locally constructed dam and thus the fluctuating voltage that they receive. As the
informant put it,
„…during the dry season the voltage is too low and during periods of erratic
rainfall of high intensity, the voltage is usually very high. The low and high
voltage causes damage to their appliances‟ (informant K1).
Ombrothermic diagram
0
1000
2000
3000
4000
5000
6000
1 2 3 4 5 6 7 8 9 10 11 12
Months
Rainfall
0
50
100
150
200
250
300
Temperature
mm
°C

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In addition, the Kingomen project coordinators said that one of the major
challenges they face is that of clearing off debris or load that is usually transported by
run-off and the River „Tonsaiy‟ on which the dam is constructed. This load, as the
informant said, blocks the turbines engendering low voltage even during the rainy
season. This assertion confirms what Ngala (2014) observed in a study on the
contribution of local hydro-electricity generation in the socio-economic development
of Kingomen-Kumbo. The authors succinctly put it that:
„…seasonal variations in the volume of water in the River “Tonsaiy” that
supplies water needed to spin the turbine leads to low power generation in
Kingomen during the dry season‟ (informant K1).
During a focus group discussion with some Kingomen project beneficiaries, they
pointed to the fact that frequent fluctuations in voltage with season are detrimental to
household electrical appliances and to human life.

Interview question: What is your opinion about the threat from dry season-related
fires on the future of your community-managed water supply/hydro-electricity
distribution/forest conservation projects?
All informants in the Mbai community forest conservation site were of the
view that relief does not have any significant influence on the sustainability of their
community forest conservation project. On the contrary, they said that climate change,
characterised by a prolonged dry season, has rendered the forest vulnerable to
bushfires. The interviewees narrated that the:
„…Mbai community forest conservation project suffers from natural and man-
made fires that destroy it on a yearly basis. The man-made fires are the
accidental and wilful fires from graziers, bee farmers and crop farmers
adjacent to the forest. The natural ones are those from lightning and those
associated with mystics. In addition, the traditional landlord of Mbockenghas
said that climate change has caused some of the springs in their shrines,
which are used for libations, to almost get dry and that bushfires are also
destroying some of their shrines‟ (informants M1, M2 and M3).

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The views of those who responded to the survey questionnaire on
environmental challenges throw more light on the research question which seeks to
understand how environmental constraints associated with topography; climate
variability and change riddle the sustainability of community-managed projects in the
North West Region of Cameroon (Table 5.6). Some of the interviewees in Kingomen
and Mentang affirmed that the seasons have been distorted, as rainfall has become
unpredictable, and that they are losing mastery of their ethno-climatology.
Table 5.6: Cumulated views of respondents on environmental factors influencing the
sustainability of their community-driven projects in the NWR of Cameroon
Project site No. of
respondents
Do you think that the following natural environmental elements are
a real threat to the ongoing effective running of community-
managed water supply/hydro-electricity power/forest conservation
projects in the NWRC?
High relief
dwellers do not
derive same
benefits from
CMPs.
Severe dry
conditions reduce
the volume of water
required to sustain
CMPs.
Drainage affect water
level which the running
of community projects
depend.
Bali CWP 29 29 10 15
Fundong
CWP
14 14 4 8
Kingomen
CEP
7 3 7 7
Mbai CFP 27 0 27 0
Total 77 46 48 30
% 100 59.7 62.3 39.0
Source: Drawn from fieldwork, 2015

From the responses of the respondents on Table 5.6, it is noticed that for those
community-driven projects that are directly associated with water their sustainability
is greatly influenced by varying relief, climate change and drainage, while for those
that are concerned with forest and conservation, their sustainability is greatly
influenced by climate/climate change. For instance, 59.7% of the respondents were of
the view that the varied relief of Bali Sub-division, Fundong-Mentang-Fujua-

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Ngwainkuma and Kingomen has made it difficult for their community-managed water
and electricity projects to satisfy all parts of the communities.
5.3: Governance/Technical challenges in CMPs in the NWRC
Another set of challenges that are influencing the sustainability of community-
managed projects in the NWRC is that associated with governance and technical
capabilities at the grassroots level. These governance and technical challenges go a
long way to compounding the prevailing socio-cultural and environmental difficulties
that influence the sustainability of community-managed projects in this part of the
country. In the NWRC, the effective implementation of most of the community-
managed projects is largely stifled by the subjective application of laws governing
these projects; the low levels of accountability and collaboration between project
committee members; loss of trust and respect for project committee members; unfair
benefit sharing; inadequate coordination and use of ill-adapted material resources;
issues of motivation and/or incentives, and the possibilities of replacing defective
committee members.
Similarly, issues such as project providers determining who should and who
should not be party to a community project, inadequately qualified technicians at
grassroots level, and the mixing of party politics in community-managed projects are
attested by the field interviewee and those who responded to the survey questionnaire.
Interview question: Do you think party politics is affecting the coordination
of local stakeholders towards the smooth running of a hydro-electricity/water
supply/forest conservation project in your community?
5.3.1: Governance Challenges

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Perceiving governance through the prism of the role of law, accountability, equity
participation, and engagement and effectiveness vis-à-vis community-managed
projects in the NWRC, there is plenty of scope to believe that the functioning of two
of these community-managed projects in the study area is sub-standard, while for two,
it is effective. Interviewees in Bali were of the opinion that there are many managerial
problems that cropped up in the course of time which have impacted negatively on the
functioning of the Bali Community Water Project. In Jam Jam neighbourhood,
interviewees noted that:
„…our neighbourhood hosts one of the main catchments at Keunjah and tank
for Bali community water, yet Jam Jam neighbourhood is not supplied with
water. The interviewee alleged that Jam Jam being at a higher altitude was
noticed earlier that it could not easily get water from the catchment through
gravity, and so a young technician from the neighbourhood was entrusted with
the task of mapping out a pipeline that could enable the neighbourhood to
have water by gravity. This task was effectively accomplished by the
technician and advertised for sponsorship, the informant narrated. When the
elites of Bali noticed that the project had won some grants, and what was left
was the execution phase, they decided to hijack the project from the young
technician who even lost his life while attempting to resist the injustice, the
informant intimated‟ (informant B2).
In addition, another informant said that when the project was hijacked, the
mapped out pipeline was modified on grounds that the initial one was too lengthy.
The informant stated that this modification of the pipeline made it difficult for the
authorities in Bali to respect the law on the primary beneficiary of the outcome of a
project vis-à-vis Jam Jam neighbourhood. Such a subjective implementation of the
law on the primary beneficiary was compounded in Bali by the absence of respect of
promises by project providers. An informant who happens to be a member of the
traditional council in Naka and Koppin alleged that:
„…when BACOWAS decided to extend the community water supply network
after taking over the management of Bali water in 1994, community members
were requested to buy 25mm pipes and to dig pipelines. According to this
informant, the request was met but up to 2010 when Bali Rural Council took

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over; BACOWAS had not honoured its promise. This weakness in governance
in Bali strained the relationship between the project provider and
neighbourhoods such as Bossa, Gungong, Jam Jam, Koppin, Mantum,
Mbeluh, Mundum, Naka and Wosing‟ (informant B1).
Drawing inspiration from the cases of the management of community forests,
Tadu Community Water Project and Kumbo Community Water Project, one of the
forest management officers noted that the project providers did not integrate the
cultural practices of the people into the community forest conservation project before
handing it over to them. To corroborate this assertion an informant who happened to
be a member of the traditional council of Mbai said that:
„The acquisition of Mbai Community Forest was a surprise to them even
though they have been traditional landlords of forest patches within MCF and
other neighbouring community forests for ages. In his opinion, all the
community forests in and around the area were products of elitist politics,
which overrode the socio-cultural life of the people and undermined the
sustainability of these community-driven forests in the long term‟ (informant
M3).
The interviewee from Buh pointed out that in 1995 they were asked by the
forestry administration in Kumbo, some elite members and officials of Birdlife
International to apply for community forests so that the forests containing their sacred
groves and shrines could be conserved as community forests using modern strategies.
As this informant narrated:
„…the elite and officials of Birdlife International gave them to understand that
it was one way through which the government wanted to involve local people
in the management of their own forests, and the traditional custodians decided
to observe how the situation unfolded. Little did the local forest custodians
know that they were just being contacted to assist the forestry administration
in Kumbo, the elite members and the officials of Birdlife International to
achieve their initial objective (informant M1).
According to him, the introduction of community forestry in the area brought
two immediate problems. The first and more important was that it led to denied access
to the sacred groves and shrines of the forest custodians found in the forest, and the

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second was that it led to a land tenure crisis between Oku and Nso Fondoms, which
was compounded by the fact that the traditional landlords and the local people did not
know much about community forestry.
Interview question: Do you think the exoneration of traditional leaders from
forest conservation/ water supply/hydro-electricity project management
responsibilities riddle their sustainability?
All the informants in Mbai shared the same view as those in Bali regarding
governance difficulties. These respondents alleged that the primary beneficiary law
was subjectively applied, thereby excluding traditional leaders from community
forestry. One of the interviewees narrated that with the creation of Mbai community
forest,
„…traditional landlords lost all the tributes usually paid to them by members
of user groups. Instead, the Mbai forest management institution (FMI)
instituted quotas which it received from these user groups. The informant
further said that the functioning of the project provider was tele-guided by
some political elite members, the informant noted‟ (informant M1)
This assertion was confirmed further by an interviewee in Mbai who held that:
„… The Oku elite are using their political influence to control Mbai
Community Forest and the land adjacent to the forest, which was leased to
people from Oku to use on a temporary basis. The interviewee said that this
was the reason which the project provider had to use but user groups had to
apply the law on the primary beneficiary without taking the socio-cultural and
anthropological relationships into consideration. The interviewee further
alleged that the shrines of traditional leaders were carved and incorporated
into Mbai Community Forest in order to keep away the traditional leaders on
grounds that the forest belonged to the government. These governance
injustices strained the relationship between the project provider (in this case,
members of Mbai Forest Management Institution, and the traditional leaders)
(informant M3).
In another dimension, but still within the framework of governance, an
informant in Simonkoh noted that members of Mbai Community Forest and all the
other Community Forests in NWR are failing to respect the provisions of the Simple

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Management Plan (SMP) and the Fondom Agreed Wide Rules (FAWRs) which state
that 5% of all proceeds from the sale of Prunus africana bark harvested from the
Community Forests should be given to the Fon. On the contrary, the elected Forest
Management Officer (FMO) and the appointed Delegate of the Forest Management
Institution (DFMI) were quarrelling over Prunus bark to the disapproval of the Fon
and his subjects. Further evidence of the threatened sustainability of Mbai Community
Forest and all the other Community Forests in the region claimed to be under Oku, is
that the Fon of Oku seized all the working documents of the Forest Management
Institutions, the informant stated.
On the contrary, the Fundong Community-Managed Water Project and
Kingomen Community Electricity Managed-Project are not so affected by governance
problems. Kingomen, however, was alleged to be suffering governance problems
associated with the absence of cordial relationships, no mechanisms to replace
defective project providers and poor accountability. The project chairperson in
Kingomen attested to lack of collaboration when he said that:
„…there is a management committee for the Kingomen community-managed
hydro-electricity project where he, a mere first school leaver and technician,
could not understand why the secretary finds it difficult to develop minutes or
the chairperson to call for meetings‟(informant K1).
A female informant in Kingomen had a counter-view when she said that the
project coordinator is managing the project as his personal business and was simply
using the name of the community for it to be sponsored. The interviewee pointed out
that:
„…not everyone in the community is supplied and even among those who are
supplied, during rationing, the coordinator becomes so discriminatory. Many
people who were initially supplied with power have either refused the supply
or their lines have been suspended by the provider because of socio-political
and economic reasons, the interviewee noted. For instance, the Kingomen

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Health Centre, which was supplied initially, no longer has light due to party
politics differences‟ (informant K2).
In that connection, the project coordinator said that though some people have
refused to be supplied, they still use the power to charge their phones either in bars or
in the homes of neighbours. The project coordinator added that young people in the
community were accusing him of not training them, whereas they were not coming
for training. Many of these governance issues that were raised for and against by the
informants were observed during field work. Some of them stem from the fact that a
king is seldom respected at home and the fact that since the power was generated by
their son, he should be entitled to no motivation and/or incentives (personal
observation). The project provider is rather being acclaimed by those who are slightly
away from Kingomen such as the Palace of Nso and the Lord Mayor of Kumbo Urban
Council who have been providing some financial and material assistance for the
standardization of the scheme. The informant noted that:
„…some people are trying to politicize the project and at the same time
accusing me of running the project as a private business whereas the
chairperson of the project is not calling for meetings. In addition, committee
members are not collaborating to even see to it that people pay the agreed
token for consumption bills. The network may not even be extended again for
people do not want to pay even the running cost. There are some people who
do not want to collaborate, some even requested that their lines should be
suspended and I did so. But you will be surprised that when you go to drinking
places around the Village Square here, you will find them charging their
phones with the same light that they have rejected. Some women struggle to
keep using the light but a good number of them pay in kind and it becomes a
problem for me to go and sell the farm produce in Kumbo‟ (interviewee K1).

Interview question: How cordial is the relationship between project committee
members and the rest of the community members in terms of trust and respect?
Elsewhere in the country, similar socio-cultural conflicts emerged and
threatened the sustainability of community forests and other community-managed

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projects in the NWRC. In this region of Cameroon, for instance, the local
communities around the Kilum-Ijim area are made up of natives who are assumed to
be the traditional owners of the forest and non-indigenes who are users. Attempts at
identifying who is or is not a member of the community have been problematic in the
process of establishing community forests. The indigenes were reluctant to work with
non-indigenes who mainly use the forest as they considered them to be „strangers‟, an
informant noted.
The difficulties encountered in making indigenes work with non-indigenes
stifled not only local participation in community forestry but the water and electricity
supply projects in the NWRC. Judging from the responses of the respondents to the
survey questionnaire, there is no significant difference in the extent of socio-
culturally-related conflicts in community-managed projects where the provider is
exogenous or endogenous. All the respondents in the four study sites were unanimous
that where the problem lies is at the level of the type of relationships existing between
project provider and project beneficiary (Table 5.7).
Table 5.7: Cumulated views of respodents on whether the type of relationship between
project provider and project beneficiary affects the level of socio-culturally-related
conflicts in community-managed projects
Project site Main project
providers by
name
Origin of
project
provider
What do you think is
the type of
relationship between
the project providers
and end-users?
How does such a type
of relationship trigger
socio-culturally-
related conflicts in
CMPs?
Bali CWP SNEC Exogenous Top down High
Fundong
CWP
Plan
International
Exogenous Partnership Very low
Kingomen
HEP
Illustrous son Endogenous Partnership Very low
Mbai CFP Birdlife
International
Exogenous Top down Very high
Source: Drawn from fieldwork, 2015

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From Table 5.7 it is noticed that there are three exogenous project providers
against one endogenous. While Bali and Mbai with exogenous (external or alien
partner) project providers experience high levels of socio-culturally-related conflicts
that threatened the sustainability of the projects, Fundong with also an exogenous
project provider rather experiences a very low level of socio-culturally-related
conflicts. Similarly, in Kingomen where the project provider is an illustrious son who
partnered with the project end-users, the project experiences a very low level of socio-
culturally-related conflicts. The interviewee narrated:
„… You will agree with me that whenever limited contacts are made between
project providers and end-users, there is a very high probability that socio-
culturally-related conflicts will emerge and will tend to affect the life of even
community-driven projects negatively. Waterfalls for community hydro-
electricity projects and water catchments for the tapping of community potable
water in the NWRC are most often areas of totemism for the custodians of the
traditions of the people. Project providers who know all these make sure that
they do not go against as the local people will cause problems (informant K1).

This implies that in projects where the relationship between project providers
and project end-users is founded on a partnership basis, the project providers tend to
acquire adequate knowledge of the socio-cultural and anthropological background of
end-users, and by extension, integrate such sustainability-enhancing dimensions of the
people into the entire frame of the projects. It is the reverse for imposed project
providers where the relationship is founded on a top-down or master/servant
relationship. An informant narrated that between 1957 and 1984, Bali community
water did not face any sustainability threats. The absence of sustainability threats can
be explained based on the fact that the project was carried out through the concerted
efforts of the Bali people and the Germans who had earlier signed a cooperation pact
with Zingraff who represented the German Administration. Through this pact, the

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Germans understood the importance of the socio-cultural components of the people of
Bali in any project that had to succeed there.
This was what SNEC failed to understand, particularly as it was imposed on
the Bali water project, the informant noted. On the contrary, those where the
development association of project end-users partnered with alien project providers,
such in Fundong-Mentang community water project, the sustainability of the project
was not threatened. Rather, the project has expanded to include Fujua and
Ngwainkuma, which were not part of the community water project at the start. An
informant in Mentang Village said that:
„…socio-cultural conflicts were avoided between the project providers and the
custodians of the Ikuo Shrine as adequate measures were taken not to temper
with the shrine, which is close to the second catchment for the Fundong-
Mentang Community Water Project. The shrine was never desecrated or
relocated. In a similar manner, the priest of Ibein Shrine in Mentang had no
problems with the project because the passage of the pipeline notified the gods
of the shrine‟ (informant F3).
This implies that the project providers took care of the socio-cultural life of
the local people and it was one of the reasons for which the Fujua-Fundong-Mentang-
Ngwainkuma Water Project is functioning well and extending. It was observed during
field work that the problems faced by the Fundong-Mentang-Fujua-Ngwainkuma
community water project were that of pollution in Ngwainkuma when it rains heavily
and the fact that the technician decided to use very small pipes for the network while
the waste pipes were very large, meaning that more water from the catchments does
not serve the population.
Similarly, the Kingomen community electricity scheme, which was intended
to cover only the neighbourhood called Village Square, has extended to six other
neighbourhoods of Kingomen such as Kinchumin, Romishyiy, Ronkih, Tabah, Tatu

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and Tonsaiy with no socio-culturally-related conflicts. The project provider, who was
one of the interviewees in Kingomen, alleged that:
„…in 2013 the Palace awarded him a red feather as a sign of recognition for
the success of the Kingomen Community electricity project. In fact many
socio-economic structures that were uncommon in Kingomen became erected
as a result of the availability of electricity. Among these socio-economic
structures were bars, shops, grinding mills and barber‟s shops. At the same
time many households were and are exploiting the power for various purposes
such as lighting, charging of mobile phones, play radios and TV sets and to
drive their electrical appliances. It means an improvement of the living
conditions of the local people, the informant stressed‟ (informants K1).
In the same positive line, another interviewee affirmed that after the
decoration, the Mayor of Kumbo Urban Council provided the management committee
with some money. This money, the interviewee stated, was used to acquire a
transformer, a number of nine-metre-long poles and cables from Energy of Cameroon
which they used to replace most of the improvised material such as locally fabricated
transformers, cables from tyres and locally harvested and untreated poles, the
informant noted. All these replacements were noticed during fieldwork although parts
of some of the neighbourhoods still use improvised material (personal observation,
2015).
The issues of motivation and/or incentives are very crucial for the life of this
project. Community members in Kingomen have no real perception of the running
cost of the scheme and many of them believe that since the turbines are turned by
water, they need to make no additional effort.
„…at grassroots level, there are seldom long-term management incentives
since the belief is that as a member of a community, one needs no incentives to
work for his people. Those who attempt to motivate the project provider did
that in kind by offering a few baskets of cocoyams, buckets of maize and
beans, and bundles of vegetables to compensate for the power they consume‟
(Informant K1).

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These views of informants were confirmed by some of those who responded to
the survey questionnaire. It was during the administration of the questionnaire that
many of them realised and actually acknowledged that the community members have
not been doing much to support the project provider and enhance the sustainability of
the Kingomen community-managed hydro-electricity project. The responses of the
respondents indicate that aggregate percentages show an overall negative effect of
governance challenges on the sustainability of community-driven projects in the
NWRC although many of these challenges manifest more on Bali Community-
managed Water Project and Mbai Community Forest Project (Table 5.8). The table
shows that 72.7% of the respondents were of the view that subjective implementation
of the primary beneficiary law in Bali and Mbai have prevented some community
members from having access to potable water despite the fact that they participated in
material acquisition and the digging of pipeline trenches. As for the Fundong-
Mentang Community-managed Water Project and the Kingomen Community-
managed electricity Project, the level of governance as indicated by field informants
is considerable although with some difficulties.

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Table 5.8: Cumulated views of respondents on the influence of governance issues on the
sustainability of community-managed project in the NWRC
Project site No. of
respondents
Do you agree or disagree with the following governance issues
affecting the effective ongoing running of community-managed
projects in the region?
The primary
beneficiary law
is subjectively
implemented
Unfair
benefit
sharing
Influence
of elitist
politics
Absence of
cordial
relationship
Loss of
trust
and
respect
Bali CWP 29 29 29 29 29 29
Fundong CWP 14 0 0 0 0 0
Kingomen
CEP
7 0 3 3 3 1
Mbai CFP 27 27 27 27 27 27
Total 77 56 59 59 59 57
% 100 72.7 76.6 76.6 76.6 74.0
Source: Drawn from fieldwork, 2015

From Table 5.8, it is observed that 76.6% of the respondents acknowledged
that unfair benefit sharing was orchestrated by elitist politics. A 76.6% and a 74% of
the respondents respectively alleged the absence of cordial relationships and loss of
trust and respect for the project management committee as common governance
issues in the North West Region (NWRC). The waste of money, energy and time,
together with the absence of the role of law, has actually affected collaboration
between the project provider of Bali Community Water and the community members
who resisted payment of water and electricity bills, and this undermined the
sustainability of the community water project.
Interview question: Do you think that inadequate qualified technicians at
grassroots level and weak coordination among them affect community ability to
sustain projects that your community is running?

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5.4: Technical challenges riddling CMPs in the NWRC
The issue of technical challenges is not limited to community-managed projects in the
NWRC. Most development projects in Africa and developing countries as a whole
face these challenges. The difference is that at grassroots level, such as is the case
with communities in the NWRC, the technical challenges are acute due to a number
of factors as a near absence of formally trained technicians (Table 5.9), limited
management capabilities, lack of networking, motivation and poverty, as interviewees
affirmed. All the respondents were unanimous on the issue of limited trained
personnel when they noted that in a case where there are very few trained persons;
when busy with other things, water that is flowing from a broken pipe or blackout into
which the community finds itself because of a simple electrical fault will continue
until when the technician is available.
In this light, informants from Bali explained that:
„…one of the greatest technical problems with our community-driven projects
in the NWRC is that when experts from the developed world come and carry
out feasibility studies and realized projects in rural areas such as those of
NWRC, their perception of the situation of the project during and after
realization is that which reflects the background of the project expert. Under
such circumstances, there are many components of the project which are done
with a lot of assumptions. For instance, the experts will believe that one
person trained within a short period of time will continue to build his/her
technical capacity through networking, which is seldom the case at grassroots
level‟ (Informants B1 and K1).
In addition, the informant who happens to be a member of the municipal
council pointed out that one person is usually trained to technically manipulate the
equipment in terms of very basic repairs, and not on equity, benefit-sharing,
monitoring and evaluation, and other governance issues, which are also very
important in ensuring the sustainability of these community-managed projects. The
interviewees confirmed the overwhelming low levels of human capabilities at

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grassroots level in terms of quality and quantity and how such inadequacy of technical
expertise affects community-managed projects in the NWRC. As they put it:
„…local communities in the NWRC, as is the case elsewhere in the country,
does not have the required technical manpower to manage some of the
community projects. In his view, projects such as sensitive community
projects, especially water and forest conservation schemes, ought to be run by
the councils. The informant said that the absence of qualified technicians,
inadequate information and poverty have often pushed local communities in
the NWRC to use local unqualified expertise to carry out feasibility studies for
their intended community projects, which in the long run lead to many
technical problems. Estimates and running cost have often been suboptimal,
the informant pointed out‟ (informants B1, B2, B3).
The issue of poor estimates of projects‟ running costs is compounded further
by the phenomenon of community solidarity, which is a common feature of the
populations in the NWR of Cameroon, as observed by the 1st Deputy Mayor of Bali.
Potable water and electricity extension takes place without due consideration of the
estimated carrying capacity of the projects. In Fundong-Mentang and Kingomen
projects it was observed that the use of low carrying capacity or improvised material
to realize community-managed projects was leading to resource wastage and making
the projects less sustainable. The sizes of the pipes and cables used are seldom in
relation to the actual demand. The use of 25mm diameter pipes for transporting
potable water from the catchment to the community and 63mm diameter pipes for
waste water pipes was the order in the communities of Fujua-Fundong-Mentang-
Ngwainkuma, Tadu and Bali (personal observation).
At times pressure on the pipes is so high to the extent that they explode
causing undue breakdowns that deprive community members of water. The tapping of
water from above principal conveyor pipes rather than by the sides or below was also
observed in the field to be a common technical challenge. Some project end-users
were of the view that the tapping of the water from above was responsible for the low

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pressure they usually experience or no flow of water from their taps. Technicians
were accused of poor work and some of them were even charged with financial
impropriety. In the Kingomen project site, the issue of technical challenges was even
more serious. The project coordinator said that his highest qualification was First
School Leaving Certificate and his electrical knowledge was from the repair of
motorbikes. The informant affirmed that:
„…the Kingomen small-scheme hydro-electricity project was implanted
without any prior feasibility studies being carried out and the carrying
capacity of the scheme was unknown. According to the informant, the initial
idea was to generate power for his business store at the Village Square and
from his estimate of the debit of River Tonsaiy there was no need for any
feasibility studies. As the informant said, even the running cost was not
important because he knew that his business was going to cover it. But when
the project started, the issue of community solidarity came in and he involved
the whole community, thereby complicating the project‟ (informant K1).
The informant went further to explain that at the early stage of the project,
everyone wanted light and every young person wanted to become a practising
electrician irrespective of their low levels of electricity knowledge. They went ahead
to improvise the material used and the use of wires from burnt tyres as cables were
not common. But in the course of time, community members became sensitized and
their attitude started changing.
Interview question: what training activities have you put in place to build
the capacity of community members in the sustainable management of community
water/hydro-electricity/forest conservation projects?
In Mbai where forest conservation was expected to be sustainable with the
introduction of community forestry, technical challenges were also enormous as field
informants attested. Near absence of human capacity in terms of trained personnel to
carry out forest inventory, forest regeneration and monitoring were impacting

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negatively on the sustainability of Mbai community-managed forest. Some informants
in Mbai said that:
„…forest regeneration, monitoring and evaluation have been major problems
in Mbai community forest because the forest is on fire almost every dry season
and there is little knowledge of multiple value trees that can arouse
regeneration interest of community members‟ (informants M1, M2).
In the same dimension, all the respondents in those villages adjacent to Mbai
Community Forest acknowledged the introduction of livelihoods programmes by the
Kilum-Ijim forest project. Some of the informants made a distinction between what
they were practising before and what the project introduced, but did not know if the
project initially planned for such programmes because they were short-lived. They
used „project‟ as a prefix for what the project introduced or improved upon. For
instance, they chose to say the project‟s tree nursery, project‟s beehive, project‟s
banana, project‟s grass for Vetiver, and so on. All of them acknowledged not being
trained or provided with the necessary inputs to practise their livelihood activities. An
informant held that:
„…the project selected those with whom to work and concentrated its activities
in some villages. He explained that they could not provide the materials
needed for training as demanded by the project. Few who were chosen and
collectively trained on hive making, salt lick, fruit tree propagation,
marcotting, grafting, vegetable growing, banana, potatoes, and oil palms
multiplication using the project‟s resources were expected to train others free
of charge, but that was not the case as they demanded not only material but
also compensation in order to train them‟ (informant M2).
In the absence of this training, the pressure that was exerted on the forest by
the increasing population continued and aggravated with time; putting the
sustainability of Mbai community forest to test. Field informants attested that there
was much unsustainable harvesting of prunus bark, wood for carving, encroachment
for farming and the taking of more animals to range in the forest immediately the
project wound down. The situation worsened when the Kwifon and Fon seized the

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documents of the Mbai forest management institution, which for some time was more
or less managed by just three persons who were active only when it was the season to
exploit prunus bark.
Informant K3 ascertained that:
„…Well it is a small scheme just for a village community and the technical
challenges may not be so many. But we would have expected the project
initiator to have trained some young people by now to handle issues of wiring
people‟s homes and carrying out minor repairs even in his absence. It is not
normal that the least fault users must wait until the project initiator is around
for the problem to be solved. He is a businessman who is so busy and we do
not know why he is not training young people in the domain. Due to this
absence of formal training, many people in Kingomen have become self-
practising electrician which is a very risky thing.‟
The responses of the respondents to the survey questionnaire as shown on
Table 5.9 below confirm the assertions made by interviewees that community-driven
projects in the NWRC suffer from technical challenges. Interviewees in the Mbai and
Bali project areas explained that formally trained technicians worked for their
community-managed projects only during the realization phase when the supporting
NGOs are there with a good level of technical expertise. After the realization of the
project, the local population is expected to continue ensuring the technical expertise,
which is not always available or so limited because when the experts are about to
return, they will sparingly train one person who is expected to ensure the technical
expertise needed for the life of the project. Just one person, who is trained within a
very short period, is usually loaded with the work and at times he prefers doing other
lucrative things for a living since he/she is not usually employed full-time by the
community, one informant in Bali noted.

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Table 5.9: Views of respondents on technical issues affecting local communities’ ability to
sustain their projects in the NWRC

Project site No. of
respondents
Do you agree or disagree that the project providers did
not adequately train grassroots tecnicians/committee
members on how to carry out extension and repair works
in case of breakdowns?
How many trained
technicians are
working for your
Community-managed
Projects (CMPs)?
Do you agree or disagree with
the statement that the near
absence of expertise at
community level to generate,
monitor and evaluate CMPs
riddles their sustainability?
0-2 3-4 5-10 Disagree Agree
Bali CWP 29 29 0 0 0 29
Fundong CWP 14 14 0 0 0 14
Kingomen CEP 7 7 0 0 0 7
Mbai CFP 27 27 0 0 0 27
Total 77 77 0 0 0 77
% 100 100 0 0 0 100
Source: Drawn from fieldwork, 2015

The table shows that all respondents, 100%, who responded to the survey
questionnaire affirmed that there are very limited numbers of trained technicians or
forestry guards working for their community-managed water/electricity/forest
projects. Again, all the 77 respondents acknowledge that inadequacy in quality and
quantity of trained technicians negatively influences the sustainability of their
community-managed projects.
5.5 Economic challenges hindering the sustainability of
Community-Managed Projects in the NWRC

Interview question: it is well known that funding challenges are common with all
projects. What specific funding challenges do you face in running the hydro-
electricity/water supply/forest projects in this community?

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Economic challenges or funding difficulties are a common feature of all
projects although community-managed projects in the North West Region of
Cameroon (NWRC) have some peculiarities. Many of the economic challenges faced
by community-managed projects in the NWRC stem from the fact that the projects are
quite often opportunistic in nature. Whenever a community has an opportunity to get
any community-managed project, they use their culture of self-reliant development to
acquire the project even when many issues concerning the sustainability of the project
are either not understood and/or addressed at the initial stage. With the exception of
the Fundong-Mentang-Fujua-Ngwainkuma community-managed water project all the
other three projects chosen for this study encompass this opportunistic character. For
instance, the informants explained that:
„…at the outset, the Kingomen small-scheme hydro-electricity project was not
intended to serve the entire village community. The extension idea came when
the project was already ongoing due to community solidarity. The project went
operational without any prior feasibility studies, and therefore, the carrying
capacity of the scheme was unknown, and the extension policy, the extension
cost and the running cost were not addressed. All these unknown factors tend
to complicate the economic dimension of the community-managed project,
particularly as the scheme relies on philanthropic gestures and the fact that
payment of electricity bills by users is mostly in kind. This obviously impacts
negatively on the financial resources required for the smooth functioning of
the scheme‟ (informants K1)
In addition to the funding challenges facing Kingomen community-managed
electrification, informant K3 narrated that:
„… It has not been long that we had transformers and some SONEL cables and
poles thanks to the financial support of the Mayor of Kumbo. Due to funding
difficulties, the first lone transformer that was used for the project was
fabricated by the project initiator and people here were using sticks as poles
and wires gotten from burnt tyres as cables. You can still find many of these
cables crossing from one compound to another and in people‟s homes. The
payment of bills is not regular and some people pay in terms of baskets of
farm produce, which makes it difficult to buy spare parts for emergency
repairs. If there were finances, the scheme could have already extended to all
neighbourhoods in the village.‟

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The same scenario can be observed with the Bali Community-managed Water
Project. Bali people did not plan for a community water project. But when an
indemnity was paid to them, they simply diverted the funds to a community-driven
water project without taking into consideration the necessary economic components
that guarantee the sustainability of the project. An informant, who is a former Mayor
of Bali Rural Council, said that the last thing that made SNEC to take over the
management of water in Bali in 1984 was that the machines of the ram pumping
system became broken and outdated and there was no money to repair or replace
them. The informants noted that:
„…a token sum of £1.20 (FCFA 1000) that was agreed to be paid by each
family once after every three months to make up for the running cost became
difficult to be collected. Some people deliberately refused to contribute
because government services were exonerated, others wanted to pay in kind
and yet others refused because they claimed that they did not consume the
water or that the money they pay as bills was not being accounted for, the
interview held.‟
Similarly, an interviewee in the Fundong project area noted that:
„…the token sum of £1 (FCFA 750) that each family was levied to pay once
after every three months to make up for the running cost was difficult to be
collected. The informant noted that there are many problems of financial
impropriety that have dissuaded community members from paying
maintenance fees or digging pipeline trenches. All these led to accumulation
of bills and a rupture in the functioning of the whole system with most of the
taps closed‟ (informants B1 and F1).

Interview question: What is your opinion about the willingness of
community members to financially, or otherwise, contribute to the running of
hydro-electricity/water supply/forest conservation project in this community?
In corroboration with regard to the willingness of the rural people to contribute
towards the running of their basic projects, an informant in Naka noted that:
„…there are many problems of financial impropriety that have dissuaded community
members from paying maintenance fee or digging pipeline trenches. All these led to
accumulation of bills and a rupture in the functioning of the whole system with most

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of the taps closed. The informant stressed that when BACOWAS took over
management in 1994, the situation grew worse as community solidarity intensified
and affected the collection of maintenance fee‟ (informants B1 and B2 noted).
In the Mbai area, the opportunistic syndrome was also very present and even
served as a disincentive. Field informants held that:
„…the local population in Mbai study site embraced community forestry
because it was an opportunity to make fast cash since the project provider
recruited persons and was offering huge wages to them. Little did they know
that when the community forest must have been acquired, it would be handed
over to them and they would become those to generate funds for forest
regeneration, monitoring and evaluation‟ (informant M1).
The views of interviewees were supported by the responses of 77 respondents
who were administered a survey questionnaire in the four project sites (Table 5.10). A
high response rate in the different project sites reveals that funding is still a major
hindrance to the sustainability of community-managed projects in the NWR of
Cameroon.
Table 5.10: Cumulated views of respondents on the extent to which funding challenges
have riddled the effort of local communities to sustain community-driven projects in the
NWRC
Project site No. of
respondents
Do you agree or disagree with the
view that the exoneration of fons’
palaces and government services
from paying running costs for
CPs made grassroots members
become reluctant to pay for their
own share of the project’s
running costs?
Do you agree or disagree that the
community project committee did not
adequately estimate the long-term
running cost and did not actually
map out viable funding mechanisms
for future innovations, extension and
management of the projects?
Agree No idea Disagree Agree No idea Disagree
Bali CWP 29 29 0 0 29 0 0
Fundong CWP 14 14 0 0 14 0 0
Kingomen CEP 7 4 1 2 7 0 0
Mbai CFP 27 26 1 0 27 0 0
Total 77 73 2 2 77 0 0
% 100 94.8 2.6 2.6 100 0 0
Source: Drawn from fieldwork, 2015

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The table shows that respondents were unanimous that the
water/electricity/forest conservation projects in the four projects areas are not
financially self-sufficient, giving a 98.7% response rate, whereas just 1.3% said they
had no idea (Table 5.10). The table also shows that all the 77 people who responded
to the survey questionnaire agreed that the exoneration of Fons‟ palaces and
government services from paying running costs for community projects made the
local population become very reluctant to pay for their own share of the running cost.
There was no one who disagreed with the assertion that the exoneration of Fons‟
palances and government services from paying running costs for community projects
make local populations become reluctant to pay for their own share of the projecty‟s
running costs.
Conclusion
On the basis of data analysis and presentation of findings using both qualitative and
quantitative evidence from field respondents and documentation, and from the view
that the cultural background of a people shape their thinking, belief system and
practices, it is a truism to say that all community-managed projects in the North West
Region of Cameroon (NWRC) are inextricably linked to the socio-cultural and
anthropological background of the people in this part of the country. Despite the
essential role played by environmental conditions, governance, and technical and
economic dimensions in the sustainability of community-managed projects, a missing
link must have been established if project providers fail to start with what makes a
people and what they master most before realizing and handing over basic projects to
local communities.

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Such a missing link dissociates the end-users from the project, rendering its
effective long-term implementation vulnerable. One of the revelations of the findings
is that the project providers often focused more on putting in place the projects than
on the fundamental components required guaranteeing the sustainability of those
projects. These fundamental components in the NWRC are the socio-cultural issues,
which at times are compounded by environmental conditions such as climate change
and relief. For instance, climate change has negatively affected the volumes of springs
and brooks, which are fundamental in traditional rites, while relief has deprived some
local communities of water availability in terms of quality and quantity. More light is
thrown on the findings in the discussion chapter, with special emphasis on the close
association between the research findings and existing literature.

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Chapter 6: Discussion Results and Recommendation
6.0 Introduction
The main objective of this chapter is to discuss the data analysed in the previous
chapters against the existing literature on challenges faced by projects that are
community-managed. The discussion of the findings presented in this chapter focuses
on understanding why projects that are community-managed have had such limited
sustainability in the North West Region of Cameroon. The study has been articulated
around the underlying challenges undermining the sustainability of community-
managed projects in four project sites in the region. These challenges cut across socio-
cultural, economic, technical, governance and environmental that engendered limited
sustainability of the forest conservation/water/electricity supply projects since the
project providers did not adequately incorporate the socio-cultural and
anthropological background of the local populations of Mbai, Bali, Fundong and
Kingomen into the holistic frame of the community project management.
The extent of the discussion centres on the researcher‟s perceived
understanding of how participants presented the data to him during fieldwork. The
study was guided by five specific objectives and 12 in-depth interviews and 4 focus
group discussions were conducted. The views of the 12 informants were confirmed by
77 respondents who provided responses to the survey questionnaire that carried 20
questions on each. The data gathered through the questionnaire, interviews, focus
group discussions and field observation, and then analysed paved the way for the
discussion of the findings against the objectives and the drawing up of meaningful
conclusions. The discussion of the findings has been presented in a serial order. This

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means that data analysed related to specific research objective 1 is discussed first,
followed by objective 2, then 3, 4 and 5.
6.1: Data analysed related to research objective 1

Research objective 1: To find out the extent to which knowledge of the socio-cultural
background of project end-users is fundamental in the sustainability of community-
managed projects in the North West Region of Cameroon. The objective seeks to
understand the degree to which non-incorporation of the cultural practices and way of
life of the people in the NWR of Cameroon in the processes of community project
decision-making riddles the sustainability of community-managed projects in the
region.
In the process of implementing community projects in the North West Region
of Cameroon (NWRC), the project-providers and the Governmental agents have
seldom incorporated the socio-cultural practices and institutions of the project
beneficiary population. Njoh (2011) acknowledges the influence of traditional
authority in the success of rural projects in Cameroon. According to this author, the
long-term successful implementation of any community project depends on whether
the beneficiary population perceives the project as truly theirs. Unfortunately, the
gross disregard for the grassroots traditional authority and their cultural practices has
undermined the long-term effective running of community projects in the developing
world, notably NWRC (Duxbury & Jeanotte, 2010; Fonchingong, 2009; Enchaw,
2009).
There is evidence from the interviewees to the research that the gross neglect
of the cultural practices of traditional landlords and project end-users led to the

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limited sustainability of community-managed water/electricity/forest projects in the
NWRC. It is argued that a people cannot adhere to any development effort that does
not coincide with their daily socio-cultural life. Field informants notably in the two
project areas experiencing very low sustainability levels acknowledged that the
projects distorted their social values such as religious authority. For instance, an
informant in Mbai forest conservation project area explained that they could no longer
have access to their shrines in the project‟s demarcated site and, therefore, were
unable to perform their yearly sacrifices at the end of which they received tributes in
the form of honey, maize, beans, rat intestines and rat parcels. The informant further
noted that the situation was compounded by the fact that some villages such as Buh,
Meluf and Tadu were not considered as having territories in the forest area.
By compromising the social life of the local people in Buh, Meluf and Tadu
villages, the project triggered a situation where local residents were deprived of their
only source of livelihood activities. Also, when the government issued permits to
aliens to commercially exploit the bark of Prunus africana from Mbai and since these
aliens did not subject themselves to the local norms governing forest protection in the
community, they violated the taboos and traditional off-days without suffering any
surreptitious punishment. The consequence was that their daring attitude instigated
indigenous people to review their belief system and invade the forest and forest-based
resources. This militated negatively against the sustainable management of Mbai
community forest conservation projects.
Similarly, in the Bali community-managed water supply project an
interviewee narrated that the exoneration of the Palace from paying maintenance fees
was due to two main reasons. The first was the socio-cultural regard the people of
Bali have for their Fon and the regulatory society known as Kwifon, of which the Fon

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is the custodian, and the second is the role the Palace played in converting the
indemnity to a water project. The interviewee expressed indignation as to the fact that
later project providers of Bali community water also exonerated government services,
thereby breaching the socio-cultural ties that give a sense of ownership and
participation to Bali people towards the water supply project (informant B2 noted).
Beside, in the opinion of informant B1, when Société Nationale des Eaux du
Cameroun (SNEC) took over the Bali Community Water project in 1984, it decided to
consider the Palace as just one of the public institutions among others such as
government services. That equality approach demystified the aura of fear and mystery
that usually surrounds the Palace, and therefore rendered it banal, to the disapproval
of the ordinary Bali person (informants B1, B2 and B3 noted).
These views of interviewees were confirmed in existing literatures (Njoh,
2011; Nteh, 2009; Titanji et al., 1988). According to Nteh (2009) SNEC was
controlled by French-speaking Cameroonians who are seldom associated with self-
reliant development and do not value the attachment of the North West people to their
socio-political institutions. So they did not see why only the Palace should be
exonerated from paying maintenance charges, and they went ahead to exonerate all
government services such as the Sub-divisional office, Gendarmerie Brigade research,
Police post, Special branch police post, health units and educational units, particularly
as they were headed mainly by French-speaking Cameroonians.
All informants in the Bali project area were unanimous that the exoneration of
these government services, to which the local population did not owe any socio-
cultural allegiance, discouraged the ordinary Bali man from paying maintenance fees.
This breach in socio-cultural ties, as Figure 6.1 depicts, marked the beginning of
sustainability problems in the Bali community water project (interviewees B1, B2 and

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B3 intimated). In line with the views of interviewees, another reason for the
dwindling sustainability of community-driven projects was that when the central
government noticed that Bali community water was well managed by the then Bali
Rural Council it mounted pressure for the state corporation, SNEC, to take over its
management. When Bali Rural Council ceded to the pressure, socio-cultural conflicts
of ownership and cultural regard set in.
The constant change of the project provider of Bali community water project,
as Figure 6.1 depicts, attests to the precarious sustainability of the water project as its
management keeps changing from one project provider to another. Table 5.1 also
indicates that 10.4% of the respondents did not know whether the disregard for socio-
cultural institutions and practices was causing any problem to community-managed
projects in the NWRC. Many of the respondents were among those who were not
close to the Palaces and knew very little of how traditional institutions function in the
NWRC.
Figure 6.1: Socio-Cultural Breach Model of Bali Community-Managed Project in the
NWRC

Source: Conceived from the documentary archives of BACOWAS, 2015

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This breach in socio-cultural ties marked the beginning of sustainability
problems in the Bali community water project. Although SNEC was ousted in 1994
by the people of Bali and a body called Bali Community Water Supply (BACOWAS)
was created to take over the management, the status quo put in place by SNEC was
maintained. In the opinion of those interviewed in Bali, the leaders of BACOWAS
were caught in a dilemma. Though these leaders were natives of Bali community,
they did not want to create conflicts with the government services, which had been
exonerated, and at the same time could not impose maintenance charges on the Palace
One of the participants during a focus group discussion held in the Bali water
project site recalled that Britain colonised former West Cameroon and their indirect
rule succeeded very well in the region, due to the strong socio-cultural attachment
subjects had for their traditional and religious authorities. The British Foreign Office,
which was involved in colonial issues, quickly understood that by passing through
these central traditional and religious authorities, who were the Fons, the colonialists
were going to govern the people easily with limited policing measures, and this was
exactly what they did, the participant intimated.
Complementing the views of views of interviewees, respondents to the survey
questionnaire in Bali and Mbai community project areas overwhelmingly recognised
the impact of socio-cultural practices and institutional disregard on the limited
sustainability of projects that are community-managed in the NWRC. Out of 77
people who responded to the survey questionnaire, 52 of them making up 66.2%
agreed that little regard for socio-cultural institutions and practices riddles the
sustainability of their community-managed projects.

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Specifically, in Bali project site out of a total of 29 respondents 26 agreed,
zero disagreed and 3 said they had no idea whereas in Mbai project site out of a total
number of 27 responses, 23 agreed, zero disagreed and 4 said that they had no idea
respectively (Table 6.1). This demonstrates that the project prevented the local
populations of Mbai and Bali from having access to their shrines, grazing lands,
farms, eucalyptus bushes, hunting zones, carving wood and water catchments in the
forest without compensation or alternatives provided to them.
Table 6.1: Respondents’ views on whether limited regard for the socio-cultural practices
of project end-users by project providers riddles communities’ efforts in sustaining their
water/hydro-electric/forest projects in the NWRC
Project site No. of
respondents
Did limited regard for socio-cultural
practices riddle the sustainability of projects
that your community is managing?
Agree disagree No idea
Bali 29 26 0 3
Fundong 14 1 12 1
Kingomen 7 1 6 0
Mbai 27 23 0 4
Total 77 51 18 8
% 100 66.2 23.4 10.4
Drawn from fieldwork, 2015
These opinions of the respondents emphasized the fact that the project
prevented the local populations of Mbai and Bali from having access to their shrines,
grazing lands, farms, eucalyptus bushes, hunting zones, carving wood and water
catchments in the forest without compensation or alternatives provided to them. The
forest is a resource bank for the bio-culture of the people adjacent to Mbai
Community Forest. Their peace plants, and those plants such as Schefflera abyssinica,
locally known in Oku Language as djia, which local people use for carving statues
that depict their anthropological life and evolution, their medicinal plants and animals,

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and those they use for initiation as well as their totemic sites are all found in the forest
and the catchment areas. The communities adjacent to Kilum-Ijim Forest
compartment which own community forests such as the Mbai Community Forest,
formed relatively closed systems in which natural resources were managed through
complex interplays of reciprocities and solidarities long before 1994 when community
forestry began in Cameroon. They used different social values such as religious
authority, caste predestination and taboos to determine most of their natural resource
management decisions and the related sharing of costs and benefits.
The existence of this elaborate and effective traditional system of
conservation in the study area did not mean much to Birdlife International, which was
the project provider. In this connection, the respondents held strongly that project
providers who are aliens3 do not usually subject themselves to the local norms
governing natural resource (forest and water) protection in the local communities, and
since they violate established taboos and traditional off-days reserved for the gods of
the land without suffering any adverse consequence, the local population, particularly
the young people, keep reviewing their beliefs and attitudes towards the abodes of the
gods (Macleod, 1987; Mbenkum and Fisiy, 1992). This has been an eloquent manner
of diluting the myth system of the people cushioned by elaborated taboos and the fear
of surreptitious sanctions.
The change in beliefs and attitudes by the young people who make day-to-day
physical contact with the resources predisposes these resources to severe
sustainability challenges. For instance, the forestry administration of Cameroon issued
permits to aliens to commercially exploit the bark of Prunus africana from Mbai

3 These are either Cameroonians who are not from the NWRC or non-Cameroonians who work for
international NGOs or the forestry department of Cameroon.

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conservation forest and since these aliens did not subject themselves to the local
norms governing forest protection in the community, they violated the taboos and
traditional off-days without suffering any surreptitious punishment.
The consequence was that their daring attitude instigated young people to
review their belief system and they invaded the forest and forest-based resources (Ako
et al., 2010; Ngwa, 2005). A people who earlier on lodged an objection against the
creation of Oku Mountain Forest Reserve, on grounds that they were capable of
conserving the forest, could not continue to uphold traditional symbols and
interpretations when it was dawning upon them that aliens were violating the
prescribed taboos with impunity and at the same time enriching themselves from local
resources. Worse still, Birdlife International did not incorporate the traditional system
of conservation of the local populations into its conservation strategies, an approach
which is at variance with the propositions of many researchers based on research
results from several regions across the African continent.
Examples of the Baka Forest in East Cameroon (Maisels et al., 2001), non-
wood products in Makueni District in Kenya (Mbuvi and Boon, 2009), San in the
Central Kalahari Game Reserve in Botswana and the Pygmies around the Dja Reserve
(Keitumetse, 2011), the Mboko in Congo Brazzaville (Sonwa et al., 2012) are among
some of the most glaring cases. The socio-cultural missing link depicted by the
findings, brings into focus the issue of whether community-managed projects should
be considered objective-oriented or process-oriented. In the two project sites of Mbai
and Bali, the project providers never considered community-managed projects as
being process-oriented. It seems true that a people cannot adhere to any development
endeavour that does not identify with their daily socio-cultural life.

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Some community-managed project providers tend to put themselves in the
position of civil engineers who construct roads, bridges and buildings and go away,
knowing that their objective has been attained. Such an objective-bound approach is
sub-optimal within the context of community-managed projects as it militates against
sustainability. A project that is realized for a people and to be run by this people for
their benefit and for an undetermined timeframe, must necessarily incorporate the
units of social life of such a people for it to take a first step towards sustainability. A
community-managed project that is a source of distortion of the units of socio-cultural
and religious life of a people (Alexander et al., 2011; Abbot et al., 2001) is one that
bears no traits of sustainability, as is the case with the Bali and Mbai community-run
projects. A community-run project is more of a process as it is embedded with traits
of continuity, and therefore has the potential for its sustainability to be verified.
On the other hand, the responses of the respondents to the survey
questionnaire in the Fundong and Kingomen community project areas confirm the
relevance of incorporating the socio-cultural practices of a project beneficiary
population into the sustainable management of a community project. For instance, in
the Fujua-Fundong-Mentang-Ngwainkuma project area, out of 14 people who
participated in the survey questionnaire, 1 agreed, 12 disagreed and 1 had no idea,
making up 7.1%, 85% and 7.1% respectively (Table 6.1 above). Similarly, in the
Kingomen project area 6 out of 7 respondents giving an 86% disagreed with the view
that limited regard for socio-cultural institutions and practices undermines their
community projects.
It was alleged during field work that shortly after the project management of
Fujua-Fundong-Mentang-Ngwainkuma was passed on to the community, the gods of
the land, believed to be dwelling in Ebein and Ikuo Shrines, were invited through

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libations and incantations to intercede for the sustainability of the entire water
scheme. Furthermore, the effective ongoing implementation of the Kingomen rural
electrification project was attributed to the traditional benediction from the Fon of
Nso at the start of the project when he requested the Shuuhfai4 of Kingomen to perform
rites, which literally meant tying the crossing rope where the dam was to be
constructed. Since the project provider incorporated this socio-cultural dimension and
the project took off well and keeps extending in the course of time, the Fon of Nso
decided to recognise him with a red feather in the year 2013.
What emerges from the analysis and discussion of the findings related to
research objective 1 reveals that dissociating the cultural and anthropological
background of a people from the management of their community projects constitutes
a missing link in the whole effort to ensure long-term ongoing effective
implementation of projects, as indicated by the responses of interviewees, focus group
participants and the respondents (Table 6.1) as well as existing literature (Njoh, 2011;
Nteh, 2009). This implies that whenever project providers incorporate socio-cultural
components in the entire frame of a community-managed project, the chances of the
project being sustainable will be greater and the reverse is true. The Catholic Church
understands this role of culture in the lives of Africans very well and had to introduce
Ecclesia in Africa for acculturation. Findings related to the Bali community water
project and the Mbai community forest on the one hand, and those related to the
Fujua-Fundong-Mentang-Ngwainkuma community water project and the Kingomen
community electricity project on the other, were used to elucidate these opposing
views. This means that research objective 1 has been achieved.

4 A representative of the Fon of Nso to whom a calabash called sho-oh ngven that contains wine and a
peace plant is handed as a symbol of authority to perform rites in shrines since the Fon perfoms his in
sacred forests.

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Effective strategies for the conservation and sustainable management of
community-driven projects should begin with the local populations living in and
around the project area, including their traditional practices and beliefs (Movuh, 2013;
Neba and Fonjong, 2002). The close link between local peoples and their resources
has made them key players in resource management and has enabled them to have
knowledge systems and control mechanisms that are related to good stewardship and
appropriate sanctions against misusers (Enchaw, 2009; Mope Simo, 2000). It is,
therefore, necessary for resource management and development projects practitioners
to integrate the values of the traditional and social structures in their areas of
operation into their activities if environmental resilience is to be achieved.
6.2: Data analysed associated with research objective 2
Research objective 2 is among those with multi-variables and was intended to find out
how environmental constraints associated with topography, climate variability and
change impact on the sustainability of community-managed projects in the North
West Region of Cameroon. In order to adequately understand the existing influence
of topography, climate variability and change on community-managed
water/electricity/forest conservation project in the NWRC, opinions were drawn from
both field informants and respondents.
According to informants in the four selected project sites, prevailing
environmental conditions in each of the sites influence the community-driven projects
directly although with varying degrees depending on the type of project, as indicated
by the responses of the respondents in Table 5.6 above and the interviewees‟ views.
From the responses of the respondents in Table 5.6, it is noticed that for those
community-driven projects that are directly associated with water their sustainability

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is greatly influenced by the differences in relief, climate change and drainage, while
for those that are concerned with forest conservation, their sustainability is greatly
influenced by climate or climate change. For instance, 59.7% of the respondents were
of the view that the varied relief of the Bali, Fundong-Mentang-Fujua-Ngwainkuma
and Kingomen project areas has made it difficult for the community-managed water
and electricity projects to cover all communities.
In the three project study sites of Bali, Fundong and Kingomen, interviewees
threw more light on how these environmental factors keep undermining the
sustainability of their community-driven projects. The 1st Deputy Mayor in Bali
expounded that pipe-borne water in Bali Sub-division has gone through three main
phases and during all the phases it was realised that the production and distribution of
pipe-borne water in the sub-division was directly affected by the nature of the relief
and other environmental challenges. The central part of the sub-division is a basin
while the surrounding areas consist of highlands with some peaks having altitudes
above 1,400m (Figure 6.2). The informant specified that the ram pumping system
which was the first and started in 1957, was limited to the neighbourhoods of Jingong
I, 2, 3, and 4, Boh, Mbadmandet, and Bawock villages found in the low-lying central
part of Bali as the ram could not pump water to high relief settlements.
The informants cited villages such as Bossa, Koppin, Mbeluh Kubadt,
Gungong, Mundum and parts of Boh as villages not having pipe- borne water due to
undulating relief among other factors. Extending the water network to these villages is
very expensive and demands enormous manpower from the residents. As a
consequence, the inhabitants in these high relief villages are deprived of potable water
and they contue to depend on unsafe water from springs and streams. Many of the
communities in Bali occupied the high relief parts of the sub-division in the southern

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and eastern regions of the study area for security purposes since Bali has been
involved in many tribal conflicts with its neighbours. These highest altitude villages
once served as satellite villages for the Palace, which was founded in the basin. Even
though in the course of time, peaceful co-existence started reigning, low-lying land
had become scarce and the highland villages could not relocate to low-lying areas,
and they therefore keep suffering the influence of relief with respect to potable water
supply (informant B1 noted).
In corroboration, interviewee B3 said that the ram pumping system provided
only public taps at strategic junctions of the neighbourhoods that were supplied due to
its limited carrying capacity. The second phase of the pipe-borne water in Bali was
the electric pumping system brought by SNEC in 1984 and the third phase is the
current one, which has incorporated a gravity system that was introduced to
supplement the electric pumping system and to check the running cost. Using a
gravity system means that all settlements below the catchment will seldom be
supplied by the distribution centre and as a result SNEC at that time had to suspend
taps that were already functional in some upland villages due to the high cost of
pumping the water.

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Figure 6.2: The relief of Bali Sub-division
Source: Adapted from the 1992 administrative map of Cameroon, INC, Yaoundé in
collaboration with the authorities of Bali Rural Council, 2015

In addition to relief, climate variability and change is one of the factors
riddling the sustainability of CMPs in the developing countries (Marks and Davis,
2013; Sally et al., 2013; Njoh, 2011; Fonjong et al., 2004). In the North West Region
of Cameroon, this assertion was confirmed. The findings in all of the four community
project areas revealed that the increasing situation of a prolonged dry season and
reducing and erratic rainfall were thereby making the effective implementation of

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community projects problematic. All the interviewees were unanimous that the
NWRC has been witnessing a situation whereby temperatures are increasing and
rainfall is reducing in the course of time.
This assertion of the interviewees was confirmed by existing climatic data in
the Regional Meteorological Centre in Bamenda. Table 5.7 shows that temperatures
increased from 14.4°C in 1998 to 20.9°C in the year 2010 for the month of January.
During this same period, particularly from 2000 to 2010, rainfall decreased from
3,097.6mm to 2,684.8mm. During the dry season of 2010, which lasted from October
to March, the temperatures are high with a maximum value of 25.4°C within this
period recorded in November, while a minimum value of 22.2°C is registered in July.
The mean annual temperature in the region has increased from 19.4°C in 1998 to
23.6°C in 2010.
The issue in question may not be these climatic anomalies per se. Rather, what
seem very preoccupying are the consequences of the climatic anomalies. For instance,
during the dry season period, the local populations of Bali as is the case with the other
communities in the NWRC, witness low discharge from the various streams and
rivers from where water is captured and distributed to the populations of the sub-
division. This reduction in the amount of water discharge directly affects the flow and
pressure of pipe-borne water captured from the Ntsi Gola streams. The situation is
growing worse in the course of time as some of the springs draining to the Ntsi Gola
streams have dried up completely, putting the management of Bali community water
into serious difficulties as conflicts with some users keep increasing.
Another dimension of the consequences associated with the prolonged dryness
is the fact that forest, bushes and farms are predisposed to bushfires. For instance, the

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Kilum-Ijim Forest where Mbai community forest is found (Figure 6.3) as well as
other pockets of forest in Mbiame, Nkambe, Bafut and Ambelle has of late been
witnessing frequent bushfires. These fires destroy the forests and their resources and
accentuate the problems of water discharge and scarcity further as the catchment areas
of the streams become exposed and susceptible to evaporation, which has increased
due to increasing dry conditions.
Figure 6.3: Forest destruction by fire in the Mbai reserve within the Kilum-Ijim
Forest Project area

Source: From the 2001 forest fire and vegetation map of KIFP and fieldwork, 2015
The findings related to objective 2 reveal that all community-managed projects
in the NWRC face the preoccupying issues of prolonged dry season, erratic rainfall,
and difficult relief. For instance, in Kingomen, the unprecedented rainfall usually of

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high intensity influences the volume of water in the locally constructed dam and the
voltage that they receive, implying that during the dry season the voltage is too low
and during periods of erratic rainfall of high intensity, the voltage is usually very high.
The low and high voltage causes damage to their appliances. Thus, participants‟
unanimous affirmation of the assertion that seasons have been distorted as rainfall has
become unpredictable and the local people are losing mastery of their ethno-
climatology, meaning that research objective 2 has been achieved.
6.3: Discussion of findings associated with research objective 3
Research objective 3 seeks to ascertain the quality and quantity of existing human
resources at grassroots level in the North West Region of Cameroon and how these
influence the sustainability of community-managed projects in the region. In greater
details, this objective was set to understand whether limited numbers of trained
technicians and guards at grassroots levels is undermining the long-term ongoing
effective implementation of CMPs in the NWRC.
A critical look at the findings provided by field interviewees, those who
participated in focus group discussions and the respondents to the questionnaire
reveals a number of interesting aspects with respect to the quality and quantity of
human resources at grassroots level in the North West Region of Cameroon. It can be
deduced from the findings that an absence of qualified human resources in terms of
number and experience, together with poverty, have often pushed local communities
in the NWRC to use local unqualified expertise to carry out feasibility studies for their
intended community projects, which in the long run lead to many technical problems.
For instance, in Mbai where the forest conservation project was expected to be

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sustainable with the introduction of community forestry, technical challenges were
also enormous as field informants attested.
The near absence of human capacity in terms of trained personnel to carry out
forest inventory, forest regeneration and monitoring were impacting negatively on the
effective implementation of the Mbai community-managed forest. It was alleged that
forest regeneration, monitoring and evaluation have been major problems in the Mbai
community forest because the forest is on fire almost every dry season. One of the
most challenging technical issues faced by the Mbai community-managed forest was
that of forest regeneration, as alleged by participants of a focus group discussion held
in Simonkoh. In their opinion, portions of Mbai community forest were lost to
bushfire almost every year and needed to be regenerated.
Unfortunately Mbai community forest is a montane forest that requires well
adopted trees, which the local population was not trained to identify and/or to obtain.
They were of the view that Birdlife International did not create any partnership
between the National Centre for the Development of Forests, known in French as
Centre National de Développement des Forêts (CENADEFOR), and them to ease the
acquisition of such trees in case of regeneration needs. CENADEFOR is the
authorised institution in Cameroon with public utility status to assist communities and
companies in matters of forest regeneration.
The absence of this partnership implied that the members of the Mbai
community forest management institution were not going to carry out any effective
forest regeneration for the sustainable management of the forest. Similarly, the local
peoples found it difficult to carry out monitoring and evaluation using GPS because
the training they had was too short and they could not easily master the manipulation

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of the GPS in terms of taking way points or tracking in the forest where there were
violations of forest management norms such as illegal harvesting of Prunus bark,
carving wood, grazing or encroachment for farming. In the same domain of training, it
was observed during a focus group discussion in Simonkoh that the participants were
unanimous that in the course of assisting their community to acquire Mbai community
forest, the project provider introduced alternative livelihood activities in order to
check human pressure on the community forest.
That notwithstanding, very few local people were sparingly trained and
provided the necessary inputs to practise the livelihood activities. Some of these
participants said that the project selected those with whom to work and concentrated
its activities in some villages more than in others. In addition, those who were trained
to train others demanded not only material but also compensation for them to be
trained on hive making, salt lick, fruit tree propagation, marcotting, grafting,
vegetable growing, banana, potatoes, and oil palms multiplication. Ineffective training
of the local populations on livelihood activities meant that the pressure on Mbai
community forest would persist, thereby undermining its sustainability.
The responses of those who responded to the survey instruments show that
even the other three community-managed projects of Bali, Fundong-Fujua-Mentang-
Ngwainkuma and Kingomen were facing similar technical challenges. For these
projects, it was alleged that the limited knowledge of the local population has led to
the acquisition of substandard materials such as pipes, adhesives, cables and other
accessories for repairs, particularly as the Cameroonian market is flooded with low
quality Chinese goods. The technical challenges in Kingomen were compounded by
the fact that the project provider was alleged to be hesitant in training younger people
for fear of competition. Some other project providers, after the realization of

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community projects, will wait until when they are about to hand over the project to
the local population to sparingly train one person who is expected to ensure the
technical expertise needed for the life of the project.
Just one person, who is trained within a very short period, is usually loaded
with work, and at times this caretaker technician prefers doing other lucrative things
for a living since he/she is not usually employed full-time by the community and what
the community offers is usually not commensurate with the services he/she renders.
All the interviewees in the four project areas were unanimous on this issue,
particularly as the caretaker technician may be expected at times to render services as
part of his/her contribution for the upkeep of the community. The implication is that
when there are very limited trained technicians and when they are busy with other
things, water that is flowing from a broken pipe or a blackout in which the community
finds itself because of a simple electrical fault will continue until the technician
becomes available.
This assertion is confirmed by Njoh (2011) and Fonchingong (2010) who
argued that one of the greatest technical problems with community-driven projects in
the NWRC is that when experts from the developed world come and carry out
feasibility studies and realize projects in rural areas such as those of developing
countries, their perception of the project during and after realization is that of the
background of the expert. Under such circumstances, there are many aspects of the
project which are undertaken with many assumptions. For instance, in Bali it was
alleged that project donors often believe that one person trained within a short period
of time will continue to build his technical capacity through networking, which is
seldom the case at grassroots level.

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The Bali community water project demonstrated this scenario as usually only
one person is trained in the technical manipulation of equipment, in the case of
community water and electricity projects, and not on equity, benefit-sharing,
monitoring and evaluation issues, which are also very important in ensuring the
holistic long-term ongoing implementation of community-driven projects. Even at the
level of technical manipulation of equipment there is still a major problem which is
caused by technological improvement in the equipment used. This is where the
absence of building technical capacity through networking at grassroots level
becomes even more challenging within the context of community-managed projects.
The change from analogue to digital exceeds the abilities of many technicians at
grassroots level and therefore calls for refresher courses for capacity building if they
are to ensure the technical sustainability of the community-managed projects, of
which they are the caretakers.
This is the same situation that was faced by many workers in Europe and
America with the advent of the Industrial Revolution. Caretaker technicians at
grassroots level in many of the communities in the NWRC as well as in the entire
developing world, have low levels of formal education although they may be
practically adept in the trades they practise. Under such circumstances, they find it
very difficult to adapt to changing technology, thereby rendering community-
managed projects technological orphans. The respondents to the survey questionnaire
were unanimous that all community-driven projects in the NWRC suffer from
technical challenges. Out of the 77 people who were administered the survey
questionnaire, all alleged that only one or two formally trained technicians work for
their community-driven project.

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According to their responses, the limited number of formally trained
technicians at the grassroots levels often makes real estimates and running costs of the
projects difficult to assess. All 77 respondents, giving a 100% response, rate
acknowledged that adequately trained technicians negatively influence the ongoing
long-term effective implementation of their community-managed projects.
6.4: Discussion of findings associated with research objective 4
Research objective 4 was stated to be to understand the relationship existing between
governance in community-managed projects, confidence in physical persons and the
sustainability of community-managed projects in the North West Region of
Cameroon. Perceiving governance through the prism of the role of law,
accountability, equity participation, and effective engagement vis-à-vis community-
managed projects in the NWRC, there is plenty of scope to believe that the
functioning of two (Bali and Mbai) of the four community-managed projects that
were studied in our research area is sub-standard, while for the other two (Kingomen
community electrification and Fujua-Fundong-Mentang-Nkwainkuma community-
managed project), governance was fairly effective.
Governance challenges within the domain of community-managed projects in
the NWRC stem primarily from complete neglect, on the part of project providers, of
the governance dimension in community-managed projects. Project providers in the
NWRC focus on training caretaker technicians who are expected to continue
providing technical expertise after the project has been handed over to the local
community, without incorporating the training of local populations on equity, benefit-
sharing, accountability, effectiveness, monitoring and evaluation, and other
governance issues, which are also very important in ensuring the holistic long-term

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sustainability of community-driven projects. This neglect has been the source of many
problems among community members after the project provider has realised his/her
objective. This is another dimension which throws more light on the fact that
community-driven project providers ought to consider these projects not as objective-
bound but as process-oriented.
In the field, it was observed that in the Bali community-managed water project
and Mbai community forest conservation project where governance was below
expectation, many of the problems among community members that were
undermining the sustainability of the projects were associated with vested interests
and greed from local stakeholders, all of which are integral parts of equity and
benefit-sharing. It was alleged that a local technician in 2012 successfully advertised
the Bali community-managed water project for sponsorship. When the political elites
of Bali noticed that the project had won some grants and that what was left was the
execution phase, they decided to hijack the project from the young technician who
even lost his life while attempting to resist the injustice. When the project was
hijacked, the mapped out pipeline was modified on grounds that the initial one was
too lengthy. This modification of the pipeline orchestrated by elitist politicians created
an atmosphere of suspicion and tension between the grassroots population and some
members of community management board.
In addition, field informants held that when BACOWAS promised to extend
the water supply by the time it took over management of Bali water in 1994,
community members were requested to buy 25mm pipes and to dig pipelines. The
local people honoured the request but up to 2010 when Bali Rural Council took over
management, BACOWAS had not honoured its own engagement, implying a failure
in effectiveness. This weakness in governance in Bali strained the relationship

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between the project provider and neighbourhoods such as Bossa, Gungong, Jam Jam,
Koppin, Mantum, Mbeluh, Mundum, Naka and Wosing, thus leading to loss of trust
and respect for the project management. The waste of money, energy and time,
together with the absence of the role of law, has actually affected collaboration
between the project provider of Bali Community Water and the community members
who resisted payment of water and electricity bills, and this undermined the
sustainability of the community water project.
In Mbai community forest conservation area, it was observed that the Oku
elite were using their political influence to control the forest reserve project and the
land adjacent to the forest reserve, which was leased to people by Oku to use on a
temporary basis. Interviewees argued that the influence of these political elite was felt
at the level of boundary demarcation and the choosing of stakeholders of the
community forests. When the Mbai community forest conservation project was
launched in 1995, non-participatory and policing approaches were used to demarcate
the boundary to the disapproval of traditional landlords and the priests of some
shrines and sacred groves. Many of the shrines and sacred groves were carved and
included in the reserve area, which the local people were forbidden to access even
though their livelihood depended upon it.
The prevailing conflictual situation in the Mbai forest area confirms the views
of Njoh (2011), Harvey and Reed (2007) and Ngwa (2005) that social peace is always
threatened when the culture of the project beneficiary populations is ignored.
Juxtaposing forceful eviction of traditional shrines and local populations from the
forest with community participation in community forestry seems to have been
defeated by the actual situation on the ground. The fact that boundary demarcation
overlapped community forestry in the Mbai area implies that the haste with which the

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project metamorphosed from law enforcement to a community participatory approach
provided plenty of scope for a cosmetic reformulation of its purpose, all of which
harmed livelihoods. Enforcing bans on farming and grazing as conservation strategies
without providing adaptable alternative livelihood means to the affected populations
was a sub-optimal approach and is analogous to planning to fail.
Similarly, the interviewees were of the view that elitist politics made the
project provider subjective in choosing stakeholders of the community forests.
Exclusion of graziers from community forestry in Mbai area was against the
community forestry law, which says that part of a community forest could be reserved
for agro-pastoral activities. The consequences were that the local people became
aggressive towards the forest and its resources from the time of demarcation,
especially as farmers and graziers were being apprehended and dragged to court.
Coincidentally, the greatest fires in KIF Forest were recorded between 1994 and 2005
although the forest has been facing a problem of fire before and after this period.
In March 2004, the most severe fire in this forest occurred and a large part of
compartments 2 and 3 of Mbai Community Forest was burnt down and a notable of
Manchok lost his life while attempting to put it out. This aggressiveness towards the
forest and its resources easily metamorphosed into renewed pressure on the forest
when Birdlife International finally handed over the community forest to the local
community to manage it as Mbai Community Forest. The aggressive situation was
made worse following the scarcity of survival land and resources outside the forest
reserve boundary. For instance, attempts by various groups of people to own and
exploit substantial portions of land within the project areas have resulted in conflicts
or open confrontations in many of the communities found adjacent to community
project sites in the NWRC.

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Another consequence of the influence of the political elite was that the non-
participatory boundary demarcation process led to serious conflicts between Nso and
Oku Fondoms and between Oku and Mbesa Fondoms. According to interviewees in
Mbai, the project provider made a serious mistake by adopting a user-groups
approach and by applying the law on primary beneficiary without making any effort
to gain an understanding of the socio-cultural and anthropological relationships of the
local populations. The interviewees alleged that the shrines of traditional landlords
were carved and incorporated into the reserve and wetland in order to keep away the
traditional landlords on grounds that the forest and wetland areas belonged to the
government, an aspect which undermined equity. The decision of the project initiators
not to include traditional landlords among the project decision-makers at the outset
instituted a communication barrier that persisted, even when the project finally
decided to bring the traditional leaders to the negotiation table.
The keeping away of the traditional landlords, farmers and graziers and taking
their interest into consideration in their absence, prevented members of this user
group from getting clear information about their fate, and information that filtered out
from the decision-making meetings reached them in a confused and distorted form.
Benefit sharing and accountability in the Mbai community forest conservation area
have not been friendly. The exclusion of traditional landlords, farmers and graziers
from community forestry meant that they were shunned from sharing in the benefits
that accrue from community forestry. Firstly, they could not have access to the forest
and its resources upon which their livelihoods depend. Secondly, they were excluded
from all financial benefits generated from the sale of Prunus bark and other forest
resources found in the community forest. Thirdly, the traditional landlords were put in
such a disadvantaged situation that made it so difficult for them to collect royalties

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from their tenants, as noticed from Table 5.10. Fourthly, the 5% proceeds allocated to
the Fons were not respected by the members of the various forest management
institutions (FMIs).
This frustrating situation therefore created considerable animosity and
instigated the Fon of Oku to seize the working documents of the FMIs. These benefit-
sharing governance injustices strained the relationship between the project provider
(in this case, members of Mbai Forest Management Institutions), and the traditional
landlords, farmers and graziers whose livelihoods revolve around the forest and its
resources. The weaknesses associated with poor governance in community-managed
projects in the North West Region of Cameroon were affirmed by a total response rate
of 76.6%. The vested interest and influence of political elite was ascertained to have
riddled further the sustainability of community-managed projects in the North West
Region of Cameroon.
Another governance issue raised was that of motivation and/or incentives that
appear to be very crucial in the life span of any community-managed project.
Community members in Bali and Kingomen have no real perception of the running
cost of the scheme and many of them believe that since the turbines are turned by
water they need make no additional financial effort. At grassroots level in all the four
project sites, it was observed that there were seldom any long-term management
incentives since the belief is that as a member of a community, one needs no
incentives to work for one‟s own people. Those who attempt to motivate the project
service provider do so in kind by offering a few baskets of cocoyam, buckets of maize
and beans, and bundles of vegetables.

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It was during the administration of the questionnaire that many of them
realised and actually acknowledged that the community members have not been doing
much to support the effective implementation of their community-managed projects.
The findings related to research objective 4 together with existing literature and field
work threw more light on the fact that the non-participatory boundary demarcation of
Mbai community project, subjective identification of project stakeholders,
misconception of poverty at grassroots, and the flaws in the legal instruments have a
significant bearing on benefit-sharing and the effective functioning of community-
managed forest/water/electricity projects in the NWRC.
This means that, the forceful expulsion of farmers and graziers from the
designated project sites, exclusion of traditional landlords from project decision-
making, the non-consideration of traditional structures as potential stakeholders and
worsening poverty seldom encourage the local people to perceive projects in their
community as truly theirs and to support their ongoing implementation. Based on the
views of informants and as confirmed by the responses of the respondents, it seems
true to believe that the rift between traditional and government agents promotes
activities that are against the sustainability of community-managed projects in the
NWRC.
6.5: Discussion of Data analysed related to research objective 5
Research objective 5 seeks to investigate common funding challenges in the North
West Region of Cameroon and how they affect the sustainability of community-
managed projects in the region. Specifically, this objective attempts to understand the
willingness exercised by grassroots peoples in paying for the ongoing

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implementation/cost-recovery of local projects and the sustainability of community-
managed projects in the NWRC.
According to Fonchngong (2012) and Fonjong et al. (2004), whenever a
community in this region has an opportunity to gain a community-managed project,
the culture of self-reliant development to acquire the project is often used even when
many issues concerning the sustainability of the project are either not understood
and/or not addressed at the initial stage. This aspect is actually associated with the
vulnerability of the local communities in the NWRC in terms of financial self-
sufficiency. It was observed in the field that with the exception of the Fundong-
Mentang-Fujua-Ngwainkuma community-managed water project all the other three
community-managed projects chosen for this study encompass this opportunistic
character. For instance, at the outset, the Kingomen small-scheme hydro-electricity
project was not intended to serve the entire village community; the idea of extending
it came when the project was already ongoing due to community solidarity.
The project went operational without any prior feasibility studies since the
project provider just wanted power that could serve his store, and therefore the
carrying capacity of the scheme was unknown, and the extension policy, the extension
cost and the running cost were neither planned nor addressed. All these unknown
factors tend to complicate the financing dimension of the community-managed
project, particularly as the scheme relies on philanthropic gestures and payment in
kind. The fact that many users of electricity in Kingomen carry out payment of bills
with buckets of beans and potatoes, makes it difficult to generate adequate financial
resources to run the small scheme. Kingomen is a small rural community some 37km
east of Kumbo Town and it is characterised by a poor road network that makes it
difficult to transport buckets of beans and potatoes to the market centre. This

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obviously impacts negatively on the financial resources required for the smooth
functioning of the scheme.
The same scenario can be observed with the Bali Community-managed Water
Project. Bali people did not plan for a community water project. But when an
indemnity was paid to them, they simply diverted the funds to a community-driven
water project without taking into consideration the necessary economic components
that are fundamental in guaranteeing the sustainability of the project. An informant,
who is a former Mayor of Bali Rural Council, said that the last thing that made SNEC
take over the management of water in Bali in 1984 was that the machines of the ram
pumping system became broken and outdated and there was no money to repair or
replace them. The informant alleged that even when the token sum of £1.20 (FCFA
1000) was levied on each family to pay once after every three months to make up for
the running cost it was difficult to collect.
It was observed that some people deliberately refused to pay bills because
government services were exonerated, others wanted to pay in kind and yet others
refused because they claimed that they did not consume the water or that the money
they pay as bills was not being accounted for. In line with the early assertion of Sally
et al. (2013) on mismanagement of funds and other resources meant for community-
driven projects by members of the managing committee, it was gathered from a
female interviewee in Naka that there are many problems of financial impropriety that
have dissuaded community members from paying maintenance fees or digging
pipeline trenches. All these affected the smooth collection of maintenance fees and
led to accumulation of bills and a rupture in the functioning of the whole system with
most of the taps closed.

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In the Mbai area, the opportunistic syndrome was also very present and even
served as a disincentive. Field informants held that the local population in the Mbai
study site embraced community forestry because it was an opportunity to make brisk
cash since the project provider recruited persons and was offering huge wages to
them. Little did they know when the community forest was acquired that it would be
handed over to them and it was they who were then to generate funds for forest
regeneration, monitoring and evaluation. This is the reason why accountability in the
Mbai forest conservation area became riddled with fraud. From huge wages with the
project to meagre sums generated mainly from the sale of Prunus bark, it was difficult
to reconcile the two. Instead of using the money generated to run the community
forest, the management committee members found it too minimal to satisfy their
personal needs. In addition, the fate of the Mbai forest conservation project becomes
precarious when conflicts and unclear and less-than-straightforward communication
reign supreme in a subsistence community. From the response scores of the
respondents (Table 5.10), it is evident that the funding crisis facing the Mbai project
does not provide an enabling environment for the effective long-term sustainable
conservation of forestry and forest-based resources in the Mbai area.
It is also noticed from Table 5.10 that excluding the traditional landlords from
the collection of forest loyalties created anger among the Fon and the local people,
thereby rendering the forest vulnerable to ruthless exploitation. Although the
Fundong-Mentang-Fujua-Ngwainkuma and Kingomen project areas are observed to
be successful in terms of implementation, cost-recovery difficulties resulting in the
use of improvised material to replace or repair community-managed projects in
NWRC are making the projects less sustainable. For example, in the Fundong and
Kingomen project areas, the sizes of the pipes and cables used seldom correspond to

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the actual demand. The use of 25mm diameter pipes for transporting potable water
from the catchment to the community and 63mm diameter pipes for waste water was
the order in the communities of Fundong-Mentang-Fujua-Ngwainkuma, Tadu and
Bali. This situation is compounded by financial impropriety from members of the
project committee.
Consonant with Njoh (2011) and Fonchingong (2009) who propounded that
when a community population perceives a project truly as theirs, they will actively
participate in cash or in kind to ensure the long-term functioning of the project, the
local populations in Mbai and Bali were unwilling to contribute actively towards their
community projects because they felt that their project provider rendered them
passive stakeholders, particularly as the provider kept reminding them that all the
forest in Cameroon belongs to the government. The disrespect of the socio-cultural
background of the rural poor in the North West Region of Cameroon by project
providers made them nurse the impression that their community projects were not
truly theirs, and therefore they saw no interest in contributing to ensure the long-term
functioning of projects which are not theirs. This brings into focus the relativism in
the value of community-managed projects.
These views are in harmony with the issues raised in the problem statement for
this study and they require adequate site-specific or disaggregated solutions, which
are here below presented in the form of recommendations for policy makers and
community development practitioners.

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Recommendations
6.6: Integrate the socio-cultural background of project end-users
in the entire frame of community projects management

The findings of this study reveal that the non-incorporation of the cultural beliefs,
practices and livelihoods of the project end-users by the project providers severely
riddles the sustainability of community-managed projects in the North West Region
of Cameroon. Information gleaned from secondary sources as well as qualitative data
collected from the field reveal that the difficulties faced by the Mbai community-
managed conservation and Bali community-managed water projects emanate from the
fact that the project providers (BirdLife International and SNEC respectively) had
very limited knowledge of the socio-cultural and anthropological background of
project end-users, whereas the Kingomen rural electrification scheme and Fujua-
Fundong-Mentang-Ngwainkuma community-water project were observed to be
sustainable in terms of effective implementation because the project providers
(Illustrious son and PLAN International) incorporated the socio-cultural aspects of the
project end-users into the management of these projects.
The communities of Kingomen in Nso and Fundong-Mentang in Kom formed
relatively closed systems in which water catchment and natural resources were
managed through complex interplays of community solidarities. They used different
social values such as religious authority, caste predestination and taboos to determine
most of their natural resource management decisions and the related sharing of cost
and benefits. The existence of this elaborate and effective traditional system of
management in the study area did not make much meaning to the project providers in
Mbai and Bali. But in the Kingomen and Fuju-Fundong-Mentang-Ngwainkuma

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projects the traditional backgrounds of project beneficiaries were incorporated into the
management processes of local projects.
The failure to incorporate the socio-cultural and anthropological background
of project end-users in the running of community-managed projects has been
acknowledged by many researchers and scholars based on research results from
several regions across the African continent. From examples of the Post-construction
Support and the Sustainability of Rural Water Projects in Ghana (Komovis et al.,
2009), Do community-driven development projects enhance social capital? Evidence
from the Philippines (Labonne and Chase, 2011), Community-driven development: A
viable Approach to Poverty Reduction in Rural Burkina Faso (Badu, 2012);
Community vulnerability to cyclone hazards in coastal Bangladesh (Alam & Collins,
2010), and Municipal councils, International NGOs and Citizen Participation in public
infrastructure development in rural settlement Cameroon (Njoh, 2011) provides
among some of the most glaring cases.
Effective strategies for ensuring the sustainable management of community
projects in the North West Region of Cameroon should begin by understanding and
incorporating the traditional practices and beliefs of the local populations living in and
around the forest or water catchment areas of the concerned communities. The close
link between local peoples and the environment in which they reside, as noted in the
Kingomen and Fundong-Mentang community projects, has made them key players in
the sustainable management of these schemes in their communities. This link has
enabled them to have knowledge systems and control mechanisms that are related to
good stewardship and appropriate sanctions against misusers (Enchaw, 2009). It is,
therefore, necessary for donors of community projects and implementing practitioners

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to integrate the traditional and social activities of project beneficiary populations into
their project operations if ongoing long-term effective management is to be achieved.
6.7: Effective co-ordination of resources at grassroots levels
The study reveals that the project providers did not consider training enough local
technicians and guards as being fundamental in the sustainability of community-
managed water/forest/electricity projects in the NWRC. The absence of such technical
capabilities at grassroots levels has made it difficult for a myriad of existing
community-managed projects in the region to become functionally viable. This
challenge of insufficient trained personnel at the grassroots level in terms of numbers
and experience is a common feature of projects under the management of
communities in the country. This phenomenon is even more serious with the Mbai
and Bali community projects as no specific funds are usually allocated for training
project engineers and managers to ensure the ongoing implementation of community-
managed projects.
It is therefore suggested that project providers should make the building of
capacity of project beneficiaries a pre-condition before transferring ownership to the
grassroots. If the culture of training local project managers becomes an integral part of
community development packages, enough initial funds will be allocated for it, and
there would be the possibilities of carrying it over a long period of time for the
adequate building up of the capacities of the local populations. The findings of this
study revealed that the Fujua-Fundong-Mentang-Ngwainkuma community water and
Kingomen community electrification projects were effectively been implemented
despite an acute shortage of trained technicians and qualified project managers in
these communities. Informants attributed the successful implementation of these

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projects to effective coordination of resources at grassroots level where the local
stakeholders shared their knowledge, expertise and experiences within these projects
which are community-driven.
Such interaction enabled those local stakeholders to learn from one another
and to see the competencies of each other. The benefit of sharing resources and skills,
as in the case of Kingomen and Fuju-Fundong-Mentang-Ngwainkuma villages,
enables these communities to bring diverse players together to solve emerging and re-
emerging project problems that were considered to be beyond the means of a single
community. For instance, Alam and Collins (2010) advocated for intra community
cooperation as a coping when they explored vulnerability to cyclone hazards in
coastal Bangladesh. Similarly, Turner (2009) and Enfield et al. (2009) argue that
building and sustaining community-based networks of collaboration have become
vital mechanisms to recognize complex social issues related to community projects
and to plan how such issues could be best addressed.
The main difficulty faced by the Mbai forest conservation and Bali water
projects that riddled their sustainability was limited networking among their
grassroots stakeholders, as opposed to the Kingomen and Fuju-Fundong-Mentang-
Ngwainkuma community projects which had effective grassroots collaborative
networking. In Bali, for instance, the interaction between SNEC as the project
implementing agency on the one hand, and the traditional Palace, Kwifon and the
local populations on the other hand, was often tense. The decision of SNEC to
consider the Palace the same as other government services by exonerating these
government services from payment of water bills constrained the relationship between
the Palace and SNEC. The situation caused the local people to become reluctant to
mobilize resources towards the ongoing long-term implementation of the project.

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Similarly, in the Mbai forest conservation project it was observed that there were no
coordinated efforts between the forest management institutions (FMO and DFMI) and
the Fon (custodian of tradition); instead, they spent time quarrelling over the sharing
of forest loyalties.
If effective coordination of grassroots resources is not put in place as one of
the strategies to improve the sustainability of these community-managed projects in
the North West Region of Cameroon, the growing human and environmental pressure
on these sensitive projects will be blown out of existence within the next few years,
particularly as most community-driven projects in this region are presently not
operational. By improving the coordination of resources at the lowest level in
communities, wastage and duplication of scarce resources will be reduced,
contributing to sustainable implementation of these basic community projects.
It is in the domain of rural development that the contemporary policy of the
government to strive for rural self-sufficiency in the country is laudable. The policy,
however, should not be limited only to providing inputs and financial resources to
rural communities as is the case with the present decentralization programme, but
should incorporate the training of community engineers and sensitize local
populations to more effective bottom-top or internal mobilization of resources.
Assistance could be sought from the United Nations Development Programme
(UNDP), BirdLife International, Plan International, SATA, British/Canadian/Japanese
overseas departments for international development, the Heifer Project International
(HPI), which have successfully implemented wellbeing projects in many parts of this
region either through the local municipal councils or by directly supporting
community-based development organizations (such as BACODAS, ABADU,

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FUVIDA, MENDU) for the long-term functioning of community-driven projects
with little impact on the environment.
6.8: Complementary application of traditional and modern
tenure in community project should be adopted

Tenure rights of rural communities, as in the case of the Mbai community-managed
forest conservation project, have proven to be a strong incentive for enhancing the
sustainability of the project. Unfortunately, through the influence of modern legal
laws, Africa governments have institutionalised State monopoly in natural resource
management including forests while relegating local communities to the background.
By virtue of Article 2 of the 1968 law, the ownership of forests in Cameroon is
regulated by the Land Tenure Code of 1963. This introduced the concept of „national
lands‟, which is synonymous with terres vacantes meaning land belonging to no one
(Njoh, 2009; Ngwa, 2005). This is a mere assumption that has implicitly impacted
negatively on conservation as it has established a relationship of „us-versus-them‟
between traditional and modern conservators.
This non-participatory approach has rendered traditional and modern
conservators becoming competitive rather than collaborative in the process of the
Mbai community-managed forest conservation project. The findings reveal that both
traditional and modern tenure relations exist in the Mbai area and it is unlikely that
any desirable and feasible conservation of the forest can be possible while shunning
customary tenure. Modern tenure, although arguably adequate in matters outside
forest and wetlands or water catchment areas, is insufficient for and inconsistent with
contemporary natural resource management paradigms. Such paradigms encompass
devolution of States from management and collective tenure advocated by indigenous

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people who are victims of continuous loss of rights over their source of livelihood due
to the non-recognition of their customary tenure (Ako et al., 2010; Enchaw, 2009). In
order to improve sustainable management of forest reserve and wetlands in the North
West Region of Cameroon particularly in the Mbai area, positive aspects of modern
and traditional tenure systems and forest management should be integrated for
complementarity (Table 6.2).
Table 6.2: Description of the traditional and modern conservation systems in Mbai forest
conservation project area
Traditional system Modern system
Wetlands and forest-based resources are owned
by a more physical stakeholder (the community)
whose interest is primarily in natural resource
management
Wetlands and forest-based resources are
owned by a moral stakeholder (the State)
whose interest in natural resource
management is secondary
Monitoring in sacred forests is less expensive as
it is effected through the forces of belief and
such forces are enshrined in traditional symbols
(totems) and spirits
Monitoring in modern protected areas is more
expensive as it is done by physical persons
using telemetric systems and field surveys
Setting up of traditional off-days to reduce
pressure on the wetlands and forest-based
resources
Imposing bans and laws to reduce pressure on
the wetlands and forest-based resources
The denial of access to wetlands and forest-based
resources is mild
The denial of access to wetlands and forest-
based resources is harsh
Governance is culturally built and adequately
coincides with the social life of the people
Governance is alien and less adapted to
ground truth or reality
Traditional system of natural resource
management is mutually inclusive
Modern system of natural resource
management is mutually exclusive
Source: Adapted from Enchaw, 2009 and Fieldwork, 2015
Table 6.2 describes the main characteristics of the customary and legal system
of natural resources management advocated by some researchers in the developing
world such as Cameroon. For instance, Enchaw (2009) assessing the effectiveness of
conservation strategies in the Kilum-Ijim mountain forest in Cameroon recommended
a complementary adoption of modern and traditional tenure systems so that
deforestation could be tackled. The author argues that the modern system of

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conserving natural resources based on bans and prohibitions were too expensive and
less sustainable. Similarly, Njoh (2009) argued that the traditional system of
conserving forest resources is mutually inclusive whereas the modern system of
managing forest resources is mutually exclusive. About 50 per cent of this table has
been adapted from the work of Enchaw and Njoh (2009) and the rest was drawn from
fieldwork (2015).
Closely associated with the shunning of customary tenure in the domain of
wetlands and natural forest management is the subjective identification of
stakeholders in community project implementation. While community management
intends to raise the participation of local populations in project implementation and
sustainability in order to contribute to ameliorating their living conditions,
unfortunately the adopted modern legal instrument governing the functioning of Mbai
forest conservation and wetlands in the NWRC undermines traditional tenure relations
that are rooted in socio-cultural, economic and political solidarities. An informant
evoked that the definition of a community with potentials to own a community forest
is too problematic as it seems to alienate some potential stakeholders such as
traditional landlords and those living in mother villages. It did not consider as
fundamental the essential argument that tenure regimes are social in nature and are
embedded in cultural backgrounds that make them different in different geographical
spaces and in time (Enchaw, 2009).
In communities with solid social structures such as in the North West Region
of Cameroon, traditional landlords, the Fon and Kwifon constitute reliable socio-
political institutions that make decisions on the use, ownership and management of
natural resources at grassroots level. In the Nso Fondom for instance, where

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responsibilities are clearly shared, the Fon is in charge of administration while the
Mntar Nso (30 families of Nso) who are the traditional landlords control the land,
lease it out to users, and collect tributes, part of which goes to the Fon (informants
M1, M2 and M3 noted). As earlier noted by Njoh (2009) and Enchaw (2009), tenure
relations that are based on reciprocities and solidarities are prone to putting users
closer to the wetlands or forest estate than the traditional landlords. Most often, the
users are youths or aliens (the case of Mbai) with neither traditional tenure rights nor
modern land titles. Under such circumstances, stakeholder identification based on
those closest to the wetlands or forest estate is misleading, as it alienates important
stakeholders, undermines cost-benefit sharing, and negates the community project.
The recommendation to make here is that if the two tenure systems are
integrated, it will create an enabling environment for the effective implementation of
community forest/electricity/water in the NWRC. Firstly, it will debug the process of
identifying potential stakeholders for the sustainable management of natural
resources. Secondly, such an approach will enhance an acceptable cost-benefit
analysis for the development of a desirable and feasible benefit-sharing mechanism.
Thirdly, integrating traditional and modern tenure will create a sense of recognition
and involvement, which is fundamental at grassroots level for the sustainability of
projects that are community-managed.
6.9: Governance in community-managed projects in the NWRC
There is growing consensus that for community-managed projects to succeed in poor
communities, they require good governance that provides an enabling environment
for the local populations to wrest a living and to improve upon their living standards.
Good governance in the management of community projects is articulated around

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effectiveness in the role of law, accountability, participation and engagement, and
equitable sharing of project-related benefits and responsibilities. Good governance in
community-managed projects focuses on the 4Rs (rights, responsibilities,
revenue/returns from the projects, and relationships) between local stakeholders.
Taking the case of Mbai community forest conservation where the entire local
population shared the cost of conserving it, the project-related benefits are not being
equitably shared. Instead, many of those who incurred greater losses and protested
were apprehended and alienated on grounds that they were against the project, while
those who lost almost nothing were incorporated into the management and continue to
reap the greatest benefits, with some even gaining tenurial rights. This absence of
equity has created tension that keeps mounting and militates against the original
objective of the conservation project. In order to mitigate the situation, an appropriate
benefit-sharing mechanism should be established in the Mbai area based on roles and
responsibilities.
The role of law and accountability are ineffective in all the four studied
projects area because of not only greed and bad faith but also poverty, less
straightforward communication, misconception, and the fact that the local population
has low knowledge of legal interpretations and accounting. A combination of poverty
and less straightforward communication led to misconceptions in the Mbai and Bali
project areas. Locally recruited individuals who worked for the projects were not
made to understand that becoming members of forest management institutions (FMIs)
or the project management committee for the implementation of community
forestry/water/electricity supply was not synonymous with acquiring permanent
employment. Instead, they developed a feeling that the remuneration they received
when working for the projects would continue unchanged. This misconception gave

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rise to covert arrangements and at times the situation is compounded by the
complicity of some members of the judiciary and the civil administration.
A wide range of mechanisms can be used to mitigate this situation of
dwindling sustainability of community-managed projects in the North West Region of
Cameroon. Firstly, building the capacity of the local people on legal matters,
responsibilities and relationships between stakeholders through education will greatly
improve upon the role of law and accountability in the Mbai/Bali/Kingomen/Fujua-
Fundong-Mentang-Ngwainkuma community project areas. Secondly, project staff
should learn to communicate clearly to local populations on matters of remuneration.
Thirdly, projects should integrate cost-recovery strategies and income-raising
components that outlast their life span so that local populations should be able to
maintain long-term improved living conditions.
Moreover, another governance issue that needs to be considered in the Mbai
project is that most of the forest users are in emerged villages and they obtained farm
land on a temporary basis from traditional landlords in mother villages by providing a
fowl or £2 (FCFA1, 500) and a calabash of raffia palm wine or £0.7 (FCFA500). In
turn, the traditional landlords perform yearly sacrifices on the land leased, at the end
of which they receive tributes in the form of honey, maize and beans. However, the
advent of community forestry in the Mbai area excluded the mother villages from
being members of community forest institutions. The exclusion of mother villages
where traditional leaders were found confirmed permanent hold of land that was
leased by these traditional leaders on a temporary basis, and therefore deprived them
of their religious authority as they could no longer have access to their shrines in the
forest. At the same time they were unable to perform their yearly sacrifices at the end
of which they received tributes.

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Chapter 7: Summary of the Findings and Future Research
Introduction
At the outset of this study, one aim and five specific objectives were set in an effort to
adequately identify, assess and formulate a more effective framework for the
sustainable management of community-driven projects in the North West Region of
Cameroon (NWRC). In a more elaborate manner, this study intended to investigate
the underlying factors that riddle the sustainability of projects that are community-
driven in the NWRC so that a grassroots-centred paradigm of project implementation
can be set for sustainable management of community-managed projects in the study
area.
Information on the extent to which the objectives of this study have been
attained has been presented in Chapter 6, which covers the discussion of the research
findings and recommendations for how the phenomenon of the limited sustainability
of community-managed projects could be addressed. This thesis comprises seven
chapters and Chapter 5 carries the responses of the respondents for the study and a
range of secondary information drawn from the archives of forest management
institutions (FMIs) and community-based organizations (CBOs) during field work.
The findings in this chapter were analysed descriptively using non-inferential
statistical tools such as tables, averages, percentages and pie and bar charts. That
notwithstanding, the relationship between the variables in the specific objectives have
been analysed descriptively using both the views of informants and secondary data
drawn from existing documents in the field.
Chapter 7 is divided into a summary of the findings, contributions to
knowledge, research implications to management and the perspectives for future

264

research. Section 1 of this concluding chapter summarizes the presentation, analysis
and discussion of the relevant data used in achieving the objectives that guided this
research. Section 2 focuses on the research contribution to knowledge. The third
section dwells on the research implications to management with emphasis on the
policy implication of the study. The fourth section deals with suggestions for further
research. A major discovery of this thesis is that among other factors, the
sustainability of community-managed projects in the study area depends on the extent
to which the project providers incorporate the anthropological and socio-cultural
background of project end-users into the ongoing implementation of the projects.
7.1: Contribution to Knowledge
One of the fundamental contributions of this study to the scientific management of
projects is related to the orientational perception of community-managed projects.
The study generated ample empirical data to support the fact that project providers
quite often perceive community-run projects as being objective-oriented rather than
process-oriented, an aspect which is innovative. But realizing and handing down
project management to a local community is objective-orientation, and objective-
oriented community projects are exocentric and do not guarantee sustainability.
Therefore, this study advocates for a grassroots-centred paradigm model
which incorporates the socio-cultural and anthropological background of project end-
users, bottom-top and intra-community coordination of resources at grassroots level,
appropriate cost-recovery strategies put in place to raise the willingness of community
members to financially pay for ongoing project running costs, the building of
grassroots governance capabilities in basic legal matters, careful and honest

265

identification of community stakeholders and community-based environmental
friendly activities for the sustainable management of community projects (Figure 7.1).
Figure 7.1: A grassroots-centred paradigm framework for sustainable management
of community projects in the NWRC

Source: Derived from Figure 3.11
This developed framework argues that the strategies adopted so far by project
providers to drive local communities into being self-reliant as well as to render them
more responsible for the management of their basic projects in the NWRC were not
effective. They did not adequately incorporate the socio-cultural and anthropological
background of project beneficiaries in the entire frame of community project
management. The implementation of these projects disregarded the traditional beliefs
and practices of end-users and engendered loss of access to shrines, groves and forest-
based or water-based resources without providing alternatives.
The framework further argues that despite the widespread popularity of
community management as a bottom-up development strategy that allows grassroots
Incorporation of the socio-cultural background
of community project end-users
Intra-community coordination of resources at
the grassroots
Careful and honest identification of community
stakeholders
Building of community governance capabilities
on the rule of law and accountability
Ability to promote commuity-based
environmentally friendly activities
Sustainability of
community-managed
projects in the NWRC
Appropriate cost-recovery strategies put in
place to raise the willingness of community
members to financially pay for the ongoing
project running costs.

266

community members to have overall responsibility for the ongoing implementation of
their projects, it is not an absolute guarantee for sustainability. Handing down project
management to a local community is not synonymous with sustainability. It concludes
that if community-managed projects are to be sustainably implemented, they require:
1) project providers to incorporate the traditional beliefs and practices of project end-
users into the entire community project management processes; 2) careful and honest
identification of stakeholders in community projects; 3) environmentally friendly
practices; 4) increase in governance capacity at grassroots level with respect to
accountability and transparency among the project management committees; 5)
appropriate cost-recovery strategies put in place to raise the willingness of community
members to financially pay for ongoing project running costs. This framework, if well
adapted to local realities in the North West Region of Cameroon (NWRC), may have
a practical contribution to the holistic management of community projects. This
framework if well implemented could transform community-managed projects from
being special activities in the communities into a normal way of life of the local
people, thereby improving their sustainability.
An interesting contribution of this study to theory is the identification of
underlying challenges limiting the sustainability of community-managed projects in
the rural setting of the North West Region of Cameroon. These types of site-specific
challenges may be very difficult to identify or quantify when analysing micro
development practices. When they are even identified, they are usually vaguely or
loosely addressed, especially in the marginalized rural areas. As per sustaining
community-managed projects, its empirical outcome is on the inextricable link
existing between community-managed projects and the cultural and anthropological
background of a people. Project providers use an exocentric approach which riddles

267

the sense of ownership and responsibility on the part of project beneficiaries.
Dissociating a community project from the socio-cultural and anthropological life of a
people defeats the very notion of a community project or belonging to the community,
a situation which was found to be compounded by the limited regard of project
providers for the governance capacity of project beneficiaries and environmentally
friendly practices.
Another practical contribution of this study is the type of methodology
adopted. The methodology for this study incorporated an unfamiliar dimension. Case
study research works are predominantly qualitative in nature. This study, however,
did not only end with the qualitative variables and data, but integrated quantitative
variables and data for complementarities and verification of empiricism. Similarly, the
study made a shift from the use of a single unit of analysis for single related projects
to a multiple unrelated projects analysis (hydro-electric power/water supply/forest
conservation) at micro level, which is also innovative in nature as previous studies
have focused on the evaluation of one or two community-driven water supply or
forest conservation or irrigation projects. For instance, Sally et al. (2013) assessed
factors undermining the long-term operation of water supply in Buea, and Njoh
(2011) investigated two water supply projects in the South West Region of Cameroon
to understand why one was a success and the other was a failure. Ngala (2012)
evaluated the impact of rural electricity supply on rural livelihoods in the NWRC;
Enchaw (2009) assessed forestry conservation strategies in the Killum-Ijim project
area.
This is seen as an overly simplistic approach to understand holistic factors
limiting the sustainability of community self-reliant projects in Cameroon,
particularly in the North West Region of Cameroon. The policy-related contribution

268

of this study is the development of a site-specific people-centred framework for in-
situ sustainable management in the NWRC that could be more enabling for the
grassroots to sustainably managed projects for social, economic and environmental
benefits. These in time will ameloriate the living conditions of the poor and
vulnerable groups in this region.
7.2: Implications to management
What emerges from the data generated, analysed and presented in the various chapters
of this thesis has enabled the study to conclude that the strategies adopted for the
sustainable management of community-driven projects in the NWRC area did not
adequately incorporate the socio-cultural and anthropological dimension in the entire
frame of community self-reliant project management and are, therefore, not efficient.
Issues examined up to this point reveal that the outcomes of projects in the study area
exhibit sub-optimality in terms of sustainability. Community management is an issue
that permeates the socio-cultural fabrics of humanity and should be addressed
consensually using local realities.
So far, the strategies adopted to ensure the effective management of
community-managed projects are more top-down, insufficient for and inconsistent
with the livelihoods of the local populations in the study area, and therefore need to be
rethought. The ineffective implementation of these community-managed projects calls
for urgent adoption of a holistic paradigm of implementing grassroots projects in
NWRC area. Such a paradigm should be characterised by a simplified and clearly
articulated anthropologically-centred community project management approach. Such
an approach will ensure that community members assume full ownership, control and
responsibility for the effective ongoing long-term implementation of those projects

269

that are community-driven, thus alleviating poverty among poor and vulnerable
groups in these deprived communities.
The execution of projects and handing them over to local communities is not
the surest way or any guarantee of safeguarding their sustainability and ameliorating
the living conditions of people in the remote rural areas over time. A holistic approach
consisting of a myriad of parameters needs to be explored and exploited for the
effective implementation of community-managed projects in this region to stand the
test of time. Within this context, therefore, it is suggested that researchers should test
the empirically derived hypothesis which states that „an understanding of the socio-
cultural and anthropological background of project end-users is fundamental in the
sustainability of any projects that are community-managed‟.
This assertion can be tested in different regions of Cameroon or other parts of
the developing world in order to increase the generalizability of the research findings.
A comparison study could also be carried out to assess the levels of effectiveness
between community-driven projects in terms of targeting poor and vulnerable and
local council-led projects in the region. A study of that nature will create awareness
for the government to facilitate rural development in council areas that experience
acute shortages of basic social infrastructure amenities. Strengthening rural
communities to become self-reliant in their struggle for safe drinking water, sustained
electricity supply, and preservation of the heritage of the country through forest
conservation, plays a role in carbon sequestration and in maintaining water sources
and good climate, both of which are desirable.

270

7.3: Suggestions for Future Research
Transferring the management of community projects to community members is no
guarantee of safeguarding the sustainable management of the projects. Within the
context of Cameroon, it is suggested that further research should evaluate the role
women play in sustaining community-managed projects in the North West Region of
Cameroon and how these projects are perceived in terms of gender. In most
communities in the sub-Saharan African countries including Cameroon, the issue of
gender regarding the management of community-based resources and projects is often
neglected, thereby shunning potential stakeholders. Further research is, therefore,
recommended in the domain of gender and community-project management in the
North West Region in particular and Cameroon at large. Such a study would elicit
empirical data that could arouse awareness in policy-makers and lead to the
empowerment and/or the building of the capacity of the female folk who stand out as
community stewards and viable stakeholders in the use and management of
community-based projects in poor rural areas.
A further study should also be carried out on ecotourism in the study area in
order to generate empirical data on the touristic potentials and the possibilities of
developing ecotourism in the Mbai community forest conservation area and in Bali,
Kingomen and Fundong topographic features such as wetlands, hills, rivers, Lake Oku
and valleys. The results of such a study will arouse the interest of the elite and the
government to expand the tourism industry of the country in the study area. The
development of this industry will impact positively on State revenue and the
livelihood of the local populations and open up this area to the global economy.
Projected economic studies on forest-based industries in the study area are
recommended, particularly in the Mbai forest conservation area, and these should

271

include honey processing, wood handicraft, paper craft and medicinal product
packaging for a start. Combined feasibility studies, starting from an identification of
the quantities and qualities of these resources, followed by transformation for targeted
markets, should gradually reduce the level of poverty in the NWRC.
Considerng the Kingomen small scale community-managed hydro-electricity
power supply, further research is therefore recommended to promote the continuity of
this locally-driven project. Studies should be carried out to make way for the
possibility of using two or more turbines in the Kingomen hydro-electric scheme. If
studies could be carried out to make way for a second turbine in Kingomen small
scale hydro-electric power generation there could be an increase in the quality and
amount of electricity produced. As such the area covered by the scheme will equally
be extended. This suggestion if well implemented may resolve future problems such
as an increase in the number of project users arising from an increase in the number of
households causing high demand for hydro-electric power supply.
Further research should evaluate community-managed projects in the North
West Region and compare them with other community projects in Cameroon in terms
of fighting for poverty alleviation. Such studies should take into account the
possibility of community-managed projects to target poor and vulnerable groups. In
this case the living conditions of people in the region will be ameliorated and as such
the rural exodus which is often engendered by the search for a better life will be
greatly reduced. With the current decentralisation process, studies should be carried
out to make way for municipalities to monitor effectively the implementation of
community-driven schemes in their different areas of jurisdiction. In so doing, some
degree of discipline and order may be guaranteed in the use and exploitation of local
resources for the benefit of the rural inhabitants.

272

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Appendix 1: Interviews

Interview 1
Date 07/04/15
Time 11:15pm
Place Bali Village
Interviewee B1(Mr Ernest Wandum)
Position of
interviewee
Project coordinator
Interview
question
I am a PhD research student at Cardiff Metropolitan University in the
UK. I am asking you for help in our assessment of the sustainability
of Community-Managed Projects in the North West Region of
Cameroon. Do you think the project providers had adequate
knowledge of the socio-cultural background of the end-users before
implementing the water supply/electricity/ forest project in your
community?
Interviewee
response
„…many project providers in the North West Region of Cameroon
seldom consider the socio-cultural and anthropological background
of project end-users as being important in the sustainable
management of community-driven projects even though the people in
this part of the country are so attached to their culture and the
traditional institutions they incarnate.‟
Question What do you think is the future of community electricity/water
supply/forest projects without due consideration of socio-cultural
sites and social life of the beneficiary population?
Response „…yes, Mbororo indigenous peoples are graziers and by their
migratory culture their dwellings are temporary and these are the
reasons for which they settle on high relief pasture lands in single-
room huts. As a group that upholds the values of decency and socio-
cultural morality, they prefer potable water points to be at great
distances from their dwellings. Mbororo children need to go and
fetch water very far so that before they return, the parents must have
had the opportunity to make more kids.‟ The informant further noted
that even many of those who later became community water
providers in Bali Nyonga did not exactly know that the Bali
community water project started from a socio-cultural perspective.
The informant narrated that the idea of Bali community water
project came into being when Fon Galega I converted an indemnity
that was paid to the Bali people by the Widikum Clan into a social
project – pipe-borne water – for the benefit of his entire subjects. As
he explained, the project began as a Ram water plant that was
constructed by a German Hydroplan at Mbadmandet village in Bali.

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When construction work ended in 1957, the Ram water system was
handed to the then Bali Rural Council and its technical management
was supported by the Public Works Department (PWD) in Bamenda,
although Bali community members had to pay maintenance fees with
the exception of the Palace.
Question Thank you very much. Besides socio-cultural challenges that you
face, are there any others? I know you‟ll be considering project-
related conflicts like you mentioned but beyond that since the
handing over of this project to the community?
Response „…yeah, another major challenge that we face in effectively
implementing our community project is climate variability. These
climatic events are recent but generalised phenomena in the entire
NWR of Cameroon now.‟ He pointed out that such fluctuations in
rainfall and temperature have affected the discharge of springs,
streams and rivers in the North West Region of Cameroon and have
equally led to the emergence of new diseases that affect crops,
particularly coffee, Irish potato and a species of cocoyam also called
colocassias.
Question With regard to enhancing the management capabilities of local
people, what training activities have you put in place to build the
capacity of community members for sustaining community water
supply/electricity/forest conservation projects?
Response „…one of the greatest technical problems with our community-driven
projects in the NWRC is that when experts from the developed world
come and carry out feasibility studies and realize projects in rural
areas such as those of NWRC, their perception of the situation of the
project during and after realization is that which reflects the
background of the project expert. Under such circumstances, there
are many components of the project which are done with a lot of
assumptions. For instance, the experts will believe that one person
trained within a short period of time will continue to build his/her
technical capacity through networking, which is seldom the case at
grassroots level.‟
Question In terms of winning the confidence at the grassroots, how cordial is
the relationship between project committee members and the rest of
the community members in terms of trust and respect?
Response „…when BACOWAS decided to extend the community water supply
network after taking over the management of Bali water in 1994,
community members were requested to buy 25mm pipes and to dig
pipelines.‟ According to this informant, the request was met but up to
2010 when Bali Rural Council took over BACOWAS had not
honoured its promise. This weakness in governance in Bali strained
the relationship between the project provider and neighbourhoods

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such as Bossa, Gungong, Jam Jam, Koppin, Mantum, Mbeluh,
Mundum, Naka and Wosing.
Question What is your opinion about the willingness of community members
to financially, or otherwise, contribute to the running of hydro-
electricity/ water supply/ forest project in this community?
Response „… A token sum of £1.20 (FCFA 1,000) was agreed to be paid by
each family once after every three months to make up for the running
cost but it became difficult to be collected. Some people deliberately
refused to contribute because government services were exonerated,
others wanted to pay in kind and yet others refused because they
claimed that they did not consume the water or that the money they
pay for bills was not being accounted for.‟

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Interview 2
Date 08/04/15
Time 1pm
Place Bali Village
Interviewee B2 (Mr Philip Langi)
Position of
interviewee
Project technician
Interview
question
What do you think is the future of community projects without due
consideration of the socio-cultural background of the project
beneficiaries?
Interviewee
response
„…the NWRC is one of those regions in the country where the people
are still very closely attached to their culture and traditional
institutions. Yet it does not make any meaning to project providers.
Quite often, limited or no time at all is spent on understanding the
role the culture of a people whose life revolves around their socio-
cultural and traditional institutions can play in the life of any project
in the NWRC. Whenever limited contacts are made between project
providers and end-users, there is a very high probability that socio-
culturally-related conflicts will emerge and will undermine the life of
even community-driven projects.‟
Question What is the attitude of those people living in high relief parts of your
community towards supporting the ongoing running of the water
supply/hydro-electricity/forest conservation project?
Response „…pipe-borne water in Bali Sub-division has gone through three
main phases and all the phases have been affected by relief and other
environmental challenges.‟ The informant specified that the ram
pumping system which was the first and started in 1957, was limited
to the neighbourhoods of Jingong I, 2, 3, and 4, Boh, Mbadmandet,
and Bawock villages in the low-lying central part of Bali as the ram
could not pump water to high relief settlements such as Koppin and
Mantum, which are the highest altitude villages in the sub-division
and were not supplied with potable water. As a result, these highland
quarters and villages seldom became motivated to participate in the
ongoing implementation of the water scheme.
Question Thank you very much. Besides the issue of inadequate qualified
project staff at grassroots level as you rightly mentioned, do you
think weak coordination of resources among community stakeholders
affects the sustainability of community projects that your community
is running?
Response „…unfortunately, formally trained technicians who worked for their
community-managed projects were poorly prepared to fully take over
the project management as it was only during the realization phase
that the supporting NGO decided to train a few individuals to cater

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for the project. Even the few people trained in different villages do
not work together or rarely collaborate and this leads to a long wait
for a broken pipe to be replaced or water in the tank to be treated.‟
Question Do you think party politics is affecting the collaboration of local
stakeholders towards a smooth running of the hydro-electricity/water
supply/forest conservation project in your community?
Response „…our neighbourhood hosts one of the main catchments at Keunjah
and the tank for Bali community water, yet Jam Jam neighbourhood
is not supplied with water.‟ The interviewee alleged that with Jam
Jam being at a higher altitude it was noticed earlier that it could not
easily get water from the catchment through gravity, and so a young
technician from the neighbourhood was entrusted with the task of
mapping out a pipeline that could enable the neighbourhood to have
water by gravity. This task was effectively accomplished by the
technician and advertised for sponsorship, the informant narrated.
When the decision-makers/elites of Bali noticed that the project had
won some grants, and what was left was the execution phase, they
decided to hijack the project from the young technician who even lost
his life while attempting to resist the injustice.
Question It is well known that funding challenges are common with all
projects. What specific funding challenges do you face in running the
hydro-electricity/ water supply/ forest project in this community?
Response „…here, there are many problems of financial impropriety that have
dissuaded community members from paying maintenance fees or
digging pipeline trenches. All these led to accumulation of bills and a
rupture in the functioning of the whole system with most of the taps
closed.‟ The informant stressed that when BACOWAS took over
management in 1994, the situation grew worse as community
solidarity intensified and affected the collection of maintenance fees.
„Also, when the central government noticed that Bali community
water was well managed by the then Bali Rural Council, it mounted
pressure for the state corporation, SNEC, to take over its
management. When Bali Rural Council ceded to the pressure, socio-
cultural conflicts of ownership and cultural regard set in and
eventually hampered people‟s willingness to fund our community
water supply project.‟

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Interview 3
Date 09/04/15
Time 4.30pm
Place Bali Village
Interviewee B3 (Mr Emmanuel Nah Lela)
Position of
interviewee
Project committee member
Interview
question
Do you think that disassociating traditional belief systems from the
management process of community projects engenders socio-cultural
conflicts which threaten the sustainability of CMPs in the projects in
the region?
Interviewee
response
This breach in socio-cultural ties marked the beginning of
sustainability problems in the Bali community water project, the
interviewee intimated. He said that although SNEC was ousted in
1994 by the people of Bali and a body called Bali Community Water
Supply (BACOWAS) was created to take over the management, the
status quo put in place by SNEC was maintained. In the opinion of
the interviewee, the leaders of BACOWAS were caught in a dilemma.
Although these leaders were natives of Bali community, they did not
want to create conflicts with the government services, which had
been exonerated, and at the same time could not impose maintenance
charges on the Palace.
Question Right, apart from socio-cultural issues as you just mentioned, do you
think the increasing number of days of no rainfall and reducing water
discharge from the aquifer in the catchment area affect the
sustainability of community-managed water supply/electricity
generation/forest conservation projects?
Response „…our community-managed water is gravity-driven, and those who
live in high relief areas usually face problems of water shortage
during the dry season. In addition, there is a new phenomenon
whereby the dry season starts before the end of September and
extends to April, and during this period, some of their taps flow with
very low pressure, while others do not flow at all and when it rains
heavily, they face problems of water pollution.‟
Question Besides inadequate qualified staff at grassroots level, do you think
inadequate coordination of resources among community stakeholders
affects the projects that your community is running?
Response „…one of the greatest technical problems with our community-driven
projects in the NWRC is that when experts from the developed world
come and carry out feasibility studies and realize projects in rural
areas such as those of NWRC, their perception of the situation of the
project during and after realization is that which reflects the
background of the project expert. Under such circumstances, there

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are many components of the project which are done with a lot of
assumptions. For instance, the experts will believe that one person
trained within a short period of time will continue to build his/her
technical capacity through networking, which is seldom the case at
grassroots level. This situation is further compounded by lack of
sharing of skills and ideas at local level.‟
Question Do you think the exoneration of traditional leaders from forest
conservation/water supply/hydro-electricity project management
responsibilities riddles their sustainability?
Response „…yes, when Société Nationale des Eaux du Cameroun (SNEC) took
over the Bali Community Water project in 1984, it decided to
consider the Palace just as one of the public institutions among
others such as government services. That equality approach
demystified the aura of fear and mystery that usually surrounds the
Palace, and therefore rendered it banal, to the disapproval of the
ordinary Bali person.‟ SNEC, he said, was run by French-speaking
Cameroonians who are seldom associated with self-reliant
development and do not value the attachment of the North West
people to their socio-political institutions. So they did not see why
only the Palace should be exonerated from paying maintenance
charges, and they went ahead to exonerate all government services
such as the Sub-divisional office, Gendarmerie Brigade, Police post,
Special branch police post, health units and educational units,
particularly as they were headed mainly by French-speaking
Cameroonians. The informant indicated that it was evident that the
sustainability of the Bali community water project was not
guaranteed, even with BACOWAS who could not impose
maintenance fees on the Palace and Government offices.
Question It is well known that funding challenges are common with all
projects. What are the specific funding challenges you face in
running the electricity/water supply/forest project in this community?
Response „…there is a token sum of £1.20 (FCFA 1000) that was agreed to be
paid by each family once after every three months to make up for the
running cost but it became difficult to be collected. Some people
deliberately refused to contribute because government services were
exonerated, others wanted to pay in kind and yet others refused
because they claimed that they did not consume the water or that the
money they pay as bills was not being accounted for.‟

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Interview 4
Date 11/04/15
Time 11am
Place Mbai Village
Interviewee M1(Mr Clement Toh)
Position of
interviewee
Forest management officer (FMO)
Question Apart from the neglect of the traditional beliefs of end-users, what do
you think is the future of a community project without due
consideration of the socio-political institutions that the project
beneficiaries incarnate?
Interviewee
response
„Yes, as you can see, the acquisition of Mbai community forest
conservation project in the NWRC, particularly from 1995 till the
present, made it difficult for priests of shrines and sacred groves to
commune with their ancestors due to the fact that the shrines and
sacred groves were carved and put within the community forest area,
which were henceforth owned and controlled by community forest
management institutions.‟ The informant stated that the traditional
landlords were not considered to be one of the user groups, which
included wood carvers, bee farmers, rat trappers and tradi-
practitioners. This informant in Tankiy neighbourhood explained
that the non-consideration of the people‟s traditions led to denied
access to sacred shrines and groves in the forest, and that has
riddled the sustainability of the Mbai community forest. He said that
the refusal of the local population to perform the traditional rites in
and around the forest conservation areas has seldom encouraged the
local people to check the forest against bushfires and deforestation.
Question What is your opinion about the threat of dry season-related fires on
the ongoing implementation of your community-managed water
supply/hydro-electricity/ forest conservation project?
Response „The Mbai community forest conservation project suffers from
natural and man-made fires that destroy it on a yearly basis. The
man-made fires are both accidental and wilful fires from graziers,
bee farmers and crop farmers adjacent to the forest. The natural
ones are those from lightning and those associated with mystics.‟ The
traditional landlord of Mbockenghas added that climate change has
caused some of the springs in their shrines, which are used for
libations, to become almost dry and that bushfires are also
destroying some of their shrines.
Question What training activities have you put in place to build the capacity of
community members in sustaining community water supply/hydro-
electricity/forest conservation projects?
Response „…the project selected those with whom to work and concentrated its

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activities in some villages.‟ He explained that they could not provide
the materials needed for training as demanded by the project. Few
who were chosen and collectively trained on hive making, salt lick,
fruit tree propagation, marcotting, grafting, vegetable growing,
banana, potatoes, and oil palms multiplication using the project‟s
resources were expected to train others free of charge as they
demanded not only materials but also compensation in order to train
them.
Question Thank you very much. Besides the socio-cultural, environmental and
technical challenges that you mentioned earlier, do you think party
politics is affecting coordination of local stakeholders towards a
smooth running of the hydro-electricity/water supply/forest
conservation project in your community?
Response „…Oku elite are using their political influence to control Mbai
Community Forest and the land adjacent to the forest, which was
leased to people from Oku to use on a temporary basis.‟ The
interviewee said that this was the reason which the project provider
had to use but user groups had to apply the law on primary
beneficiary without taking the socio-cultural and anthropological
relationships into consideration. The interviewee further alleged that
the shrines of traditional leaders were carved and incorporated into
Mbai Community Forest in order to keep away the traditional
leaders on grounds that the forest belonged to the government. These
governance injustices strained the relationship between the project
provider (in this case, members of Mbai Forest Management
Institution, and the traditional leaders), the informant noted.
Question What is your opinion about the willingness of community members
to financially, or otherwise, contribute to the running of hydro-
electricity/ water/ forest conservation project in this community?
Response „…the local population in the Mbai study site embraced community
forestry because it was an opportunity to make fast cash since the
project provider recruited persons and was offering huge wages to
them. Little did they know that when the community forest had been
acquired, it would be handed over to them and they would become
those to generate funds for forest regeneration, monitoring and
evaluation.
„…again, most of the forest users are in emerged villages and they
got farm land on a temporary basis from traditional landlords in
mother villages by providing a fowl or £2 (FCFA 1,500) and a
calabash of raffia palm wine or £0.70 (FCFA 500). In turn, the
traditional landlords perform yearly sacrifices on the land leased, at
the end of which they received tributes in the form of honey, maize,
beans, rat intestines and rat parcels.‟ The interviewee mentioned that

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the advent of community forestry in the area excluded the mother
villages from being members of community forest institutions. People
in the mother villages became reluctant to support the ongoing
implementation of the project, he said.
Sub-question Do you mean to say that refusal of access to shrines and groves is
limiting the sustainability of your community-forest conservation?
Response „…yes, it is already close to a year since the Kwifon of Oku led by the
Fon seized all the acquisition and working documents of 6 of the 7
community forests in Kilum Mountain Forest area, which the Fon
claimed is under his authority. The reason for the seizure of these
documents was simply that the socio-cultural norms were not
respected and governance was extremely poor.‟ Questioned why it
was that the Kwifon and not the forestry administration had seized
the documents, the Forest Management Officer (FMO) for the Mbai
Community Forest Management Institution and his female secretary
said that the Fon and Kwifon are the custodians of the forest and that
they monitor the forest and activities within it on a daily basis, unlike
the forestry administration, which does not monitor the project on a
daily basis.

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Interview 5
Date 12/04/15
Time 10.35am
Place Mbai Village
Interviewee M2 (Mr Fongeh Ibrahim)
Position of
interviewee
Forest management officer (FMO)
Question What do you think is the future of a community project without due
consideration of the socio-cultural structures that the project
beneficiaries incarnate?
Response „… Such a project won‟t last. For instance, in 1972, an NGO called
the Swiss Association for Technical Assistance (SATA) was contacted
by the grazing Muslim community in Tadu to provide water to Tadu
community. All traditional negotiations were made and the project
took off well. But the situation changed from the 1990s with the
advent of multi-party politics in Cameroon. The Muslim community
was accused of discriminating and depriving residents of Kidzem for
throwing waste (such as condoms) into the water tanks and using the
water to produce corn beer. This could have been avoided if the
project providers had considered the culture of the Muslims and the
traditional natives of Nso before implementing the project. When
patrol team members assigned with monitoring the community
forests are mixed or come from different cultures which do not
coincide, it will be obvious that respect for the traditional off-days in
Mbai will be susceptible to defiance. The project provider did not
understand the type of socio-cultural and tenure relationships
existing between the villages of Buh and Tadu (mother villages) on
the one hand, and Lum, Ntovi, Simonkoh and Tangkiy (emerged
villages) on the other. The project provider also did not understand
the socio-cultural and religious relationship existing between the
traditional landlords and the forest. If these aspects had been well
taken care of, traditional landlords could have been considered as
one of the user groups of the forest and forest resources.‟
Question What is the attitude of those people living in high relief parts of your
community towards supporting the ongoing implementation of the
water supply/electricity/forest conservation project?
Response „… As you can notice, the Mbororo ethnic group will prefer to settle
in isolated parts of the main village community due to their grazing
culture. Most often they do not enjoy the same benefits from project
fallouts and whenever they notice that project providers have
marginalised them or want to go against their socio-cultural life
practices, they simply refuse to collaborate. When they refuse to
collaborate, force is used to realise any project in their

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neighbourhood. This usually becomes a source of conflicts and quite
often the installations are vandalised shortly after the project is
realised, particularly when the Mbororo live close to the catchment
areas.‟
Question Do you think inadequately qualified staff at grassroots level and
limited coordination of skills among community stakeholders affect
the sustainability of projects that your community is running?
Response „… As you can see, the greatest technical problems with our
community-driven projects in the region is that when experts from
the advanced countries come and carry out feasibility studies and
realize projects in rural communities, the way they perceive the
project during and after realization reflects of the background of the
project expert. As a result, there are many aspects of the project
which are done with a lot of assumptions. For example, they will
believe that one person trained within a short period of time will
continue to build his/her technical capacity through networking,
which is seldom the case at grassroots level.‟
Question Do you think the exoneration of traditional landlords from forest
conservation/ water supply/electricity projects management
responsibilities riddles their sustainability?
Response „…traditional landlords lost all the tributes usually paid to them by
members of user groups. Instead, the Mbai forest management
institution (FMI) instituted quotas which it received from these user
groups.‟ The informant further said that at grassroots level there are
seldom long-term management incentives since the belief is that as a
member of a community, one needs no incentives to work for one‟s
own people. Those who attempt to motivate the project management
team did that in kind by offering a few baskets of cocoyams, buckets
of maize and beans, and bundles of vegetables. The informant
further explained that when the rights of the traditional landlords
were seized the gods become aggressive towards the resources which
they consider are being exploited illegitimately. This informant
further claimed that the aggressiveness of the gods is expressed in
the form of surreptitious vandalisation of the resources intended to
be conserved through community forestry. For instance, 12 separate
forest fires have been recorded in the Mbai community forest project
site and among these fires three spread from farms into the forest.
The other nine originated mysteriously from within the heart of the
forest either on grasslands or from inaccessible valleys.‟
Question What are the specific funding challenges you face in running the
electricity/water/forest conservation project in this community?
Response „…the project went operational without any prior feasibility studies
at community level. Funding for forest regeneration, monitoring and

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evaluation have been a major problem in the Mbai community forest
conservation projects because the forest is on fire almost every dry
season. Therefore, the carrying capacity of the scheme was unknown,
the extension cost and the running cost were not addressed by the
FMIs on the one hand and traditional landlord on the other hand. All
these unknown factors tend to complicate the economic dimension of
the community-managed project, particularly as the scheme relies on
philanthropic gestures and the fact that payment of electricity bills
by users is mostly in kind. This obviously impacts negatively on the
financial resources required for the smooth functioning of the
scheme.‟
Sub-question Of what significance are the traditional off-days to the Mbai
community-managed forest conservation project?
Response „…traditional off-days are those days of a traditional week which are
reserved for the gods of the land.‟ The informant said that during
these days, which are often two, no one is authorised to go to the
farm or forest or specific streams because his or her presence would
disturb the tranquillity or activities of the gods of the land. When
patrol team members assigned to monitor the community forests are
mixed or come from different cultures which do not coincide, it will
be obvious that respect for the traditional off-days in Mbai will be
susceptible to defiance, the informant pointed out.
„… if we take the case of Mbai community forest, it will be realised
that, some villages are in Nso Fondom, while others are in Oku, and
these two fondoms do not have exactly the same traditional off-days.‟
The informant pointed out that this aspect of traditional off-days was
not taken into account by Birdlife International, which was operating
under the umbrella of the Kilum-Ijim Forest Project and it created
internal problems among the members of forest patrol teams. As he
said, patrol team members from Oku usually accused those from Nso
of violating their traditional off-days and vice-versa.

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Interview 6
Date 13/04/15
Time 11.30am
Place Mbai Village
Interviewee M3 (Den Mborong)
Position of
interviewee
Traditional landlord
Question What do you think is the future of community projects without due
consideration of the socio-cultural structures of the project
beneficiaries?
Response „… The non-socio-cultural distinction in the exoneration of
government services was considered by the beneficiary population of
Bali as disrespect for their traditional ruler and cultural practices.
This disregard for the socio-cultural and political institutions of
project end-users and their functioning greatly undermined the
sustainability of the Bali Community Water Project, Mbai community
forest project and many other community-managed projects in the
NWRC.‟ The informant expounded that the non-integration of the
socio-cultural values and institutions of the people into community-
driven projects in general and community forests in particular is
creating conflicts between the Fon (head of traditional institutions)
who is the custodian of the land and members of forest management
institutions (FMIs) who are running the community forests.‟
„…the denial of access rights has led to another phenomenon which
is that of usurpation of the rights of traditional custodians. During
the start of the demarcation of Mbai Community Forest and all the
other neighbouring community forest, some rites were performed
though not by the rightful traditional custodians.‟
Sub-question Thank you very much. Apart from the non-consideration of socio-
cultural structures that you just mentioned, how has the forest
conservation project affected the cultural sites, the practices and
social life of the people in your community?
Response „… As concerns the management of the community forest (MCF) and
other community forests in the NWRC, the first thing is that the
region is predominantly a grassland area, referred to as the
Grassfields, and many of the community forests (CFs) are
concentrated in relics of montane forests and gallery forests in
catchment areas. These montane and gallery forests are largely the
abodes of the gods of the people and that is why many of them
consist of sacred groves and shrines. These abodes of the gods have
been successfully conserved through traditional means even before
the advent of community forestry (CF) in the country in 1995, which
was the application phase of the 1994 Forestry and Wildlife Law that

315

instituted the concept. Denied access to sacred shrines and groves in
the forest has riddled the sustainability of Mbai community forest.‟
The informant said that the refusal of local population to perform the
traditional rites in and around the forest conservation areas has
seldom encouraged the local people to check the forest against bush
fires and deforestation.
Question Does the threat of dry season-related fires affect the sustainability of
your community-managed water supply/hydro-electricity/forest
conservation project?
Response „…during the dry season our community forest conservation project
suffers from natural and man-made fires that destroy it on a yearly
basis. The man-made fires are the accidental and wilful fires from
graziers, bee farmers and crop farmers close to the forest reserve.
The natural ones are those from lightning and those associated with
mystics. In addition, the traditional landlord said that climate change
has caused some of the springs in their shrines, which are used for
libations, to become almost dry and that bushfires are also
destroying some of their shrines located inside the forest area.‟
Sub-question Thank you so much. Besides bushfire-related incidents that riddle
your forest conservation project as you rightly mentioned, are there
any others? I know you will be considering environmental
challenges like the increasing number of days without rainfall and
rising temperatures but beyond that what is the attitude of those
people living in high relief parts of your community towards
supporting the effective implementation of the water
supply/electricity/forest conservation project?
Response „…The fluctuations in rainfall and temperature have affected the
discharge of springs and rivers in the region and have equally led to
the emergence of new diseases that affect crops, particularly coffee,
Irish potato and other food species.‟ The informant noted that people
in the neighbourhoods of Tadu and Buh villages found at high-lying
part of Mbai are seldom encouraged to actively support community
projects because they seem to feel that they only barely benefit from
them.„…also, there is a phenomenon of unprecedented growth in the
number of settlements in and around the Mbai community forest
areas which has reduced its size. This is caused by increasing human
activities such as farming, grazing, calving, building and hunting
actions in and around the forest area.‟
Question Do you think that uncoordinated settlements of people close to the
Mbai community-managed forest are doing more harm than good to
its sustainability?
Response „…yes, in 2010 when the results of the 2005 national census were
released some of these newly created settlements featured on the

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census sheets as autonomous villages. Others gained this status in
the course of time but no official document, as of 2015, carried them
as full villages.The traditional landlords performing sacrifices in
Mbai community forests are from Nso, although migrants from Oku
have shown an interest in becoming part of the project, but the Nso
traditionalists are not willing to accept them. This creates conflicts
among interested community groups. The acquisition of Mbai
Community Forest was a surprise to them even though they have
been traditional landlords of forest patches within MCF and other
neighbouring community forests for ages.‟ In his opinion, all the
community forests in and around the area were products of elitist
politics, which overrode the socio-cultural life of the people and
undermined the sustainability of these community-driven forests in
the long term.
Question Do you think the exoneration of traditional leaders from forest
conservation/water supply/hydro-electricity project management
responsibilities riddles their sustainability?
Response „…traditional landlords lost all the tributes usually paid to them by
members of user groups. Instead, the Mbai forest management
institution (FMI) instituted quotas which it received from these user
groups.‟ The informant further said that the most often, some of the
project providers and younger people in the communities take the
pretext of existing tenure laws, which prescribe that all land belongs
to the State, to perpetrate land tenure atrocities against the
traditional leaders who are locally regarded as the custodians of the
land and the totems therein. This approach creates a situation of
competition which is articulated around us-versus-them. Such an
atmosphere gives room for law enforcement, which is characterised
by policing and reprisal measures, all of which succeed only within
the few years that the NGOs are in the field to sponsor the activities
of the project as well as law enforcement within the project area.
„…When the traditional landlord used his sho-oh ngven and
performed counter-rites in his shrine near the catchment area, water
availability became a problem. This confirms the spiritual powers of
the traditional ruler.‟
Question What is your opinion on the willingness of community members to
financially, or otherwise, contribute to the running of electricity/
water/forest conservation projects in this community?
Response „…the haste with which the community forestry process took place,
particularly the Mbai forest conservation project, did not allow
project providers such as Birdlife International, which was the NGO
providing technical and financial assistance in the project area, to
make adequate contacts with the forest custodians to master their

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socio-cultural and anthropological settings. Also, at grassroots level,
there are seldom long-term management incentives since the belief is
that as a member of a community, one needs no incentives to work
for his people. Those who try to motivate the project management
team did that in kind by offering a few baskets of cocoyams, buckets
of maize and beans, and bundles of vegetables.‟
Sub-question What do you think is the future of the Mbai community project
without due consideration of traditional institutions of end-users?
Response „…community-managed forest conservation projects, commonly
called community forestry, were and are a government eco-centric
construct for ecological purposes, without any regard for the socio-
cultural values and institutions of the people in the country in
general and NWRC in particular.‟ The informant expounded that the
non-integration of the socio-cultural values and institutions of the
people into community-driven projects in general and community
forests in particular is creating conflicts between the Fon (head of
traditional institutions) who is the custodian of the land and
members of forest management institutions (FMIs) who are running
the community forests.
„…most often, some of the project providers and younger people in
the communities take the pretext of existing tenure laws, which
prescribe that all land belongs to the State, to perpetrate land tenure
atrocities against the traditional leaders who are locally regarded as
the custodians of the land and the totems therein. This approach
creates a situation of competition which is articulated around us-
versus-them. Such an atmosphere gives room for law enforcement,
which is characterised by policing and reprisal measures, all of
which succeed only within the few years that the NGOs are in the
field to sponsor the activities of the project as well as law
enforcement within the project area.‟

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Interview 7
Date 16/04/15
Time 11.10pm
Place Fundong Village
Interviewee F1(Funjom Lawrence)
Position of
interviewee
Project coordinator
Question Do you think the project providers had adequate understanding of the
culture and religious beliefs of the end-users before implementing the
water supply/hydro-electricity/forest conservation project?
Response „…the project provider [in this case Plan International] did
understand the type of socio-cultural relationships existing between
Fujua, Fundong and Mentang villages. Similarly, the project
provider understood the influence of traditional landlords on their
communities and included them as members of the water project
management committee. If this strategy hadn‟t been taken care of,
traditional landlords could have used their position and influence to
discourage their subjects from any support for the water project.‟
Question How does the increasing number of days of no rainfall and reducing
water discharge from the aquifer in the catchment area affect the
sustainability of water supply/hydro-electricity/forest conservation
projects?
Response „…Our community-managed water is gravity-driven, and those who
live in high-relief areas usually face problems of water shortage
during the dry season. In addition, there is a new phenomenon
whereby the dry season starts before the end of September and
extends to April, and during this period, some of their taps flow with
very low pressure, while others do not flow at all, and when it rains
heavily they face problems of water pollution especially when run-off
carries waste into the water tanks.‟
Question Is it true that scarce qualified staff and poor coordination of existing
skills stifle the sustainability of projects that your community is
running?
Response „…we experience severe shortage of trained technicians in our
communities. For instance, in Fundong village we have just one
technician to carry out repairs in case of breaks or when a head tap
needs to be replaced. The technician is looking after more than 47
standpipes alone, which to me is too much for one individual. Effort
to train young managers has failed because there is weak incentive
for being a community worker. But there is much cooperation and
sharing of skills between the community technicians in Mentang and
Fundong villages.‟
Question How cordial is the relationship between project committee members

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and the rest of the community members in terms of trust and respect?
Response „…the issues of motivation and/or incentives are very crucial for the
life of this project. Community members in charge of managing our
water supply project have a respectful and friendly relationship with
the project end-users in terms of accountability even though most of
the grassroots members of the community have no real perception of
the running cost of the scheme and many of them believe that since
the project is managed by local people of the community, they need
to make no additional effort. Those who attempt to motivate the
project service provider did that in kind by offering a few baskets of
cocoyams, bucket of maize and beans.‟
Question It is well known that funding challenges are common with all
projects. What specific funding challenges do you face in running the
hydro-electricity/water supply/forest project in this community?
Response „…we depend on our village development association for funding and
this is usually made available in January after the annual
fundraising has been held. The water management committee for
Fundong village is given £180 (150,000 FCFA) yearly for water
supply maintenance. This is far too small for the challenges that we
meet and even the beneficiary populations sometimes find it difficult
to contribute money when a head tap is destroyed and needs to be
replaced. They often complain of poverty and some prefer to pay in
kind by giving a bucket of corn or beans.

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Interview 8
Date 17/04/15
Time 10am
Place Fundong Village
Interviewee F2 (Christopher Mbang)
Position of
interviewee
Project technician
Question What do you think is the future of community projects without
due consideration of the socio-cultural practices of the project
beneficiaries?
Response „… I think that the project may fail if the project providers do not
incorporate aspects of the cultural belief and practices of project
end-users.‟ The informant added that most providers of
community-managed projects in the area seldom integrate the
socio-cultural and anthropological background of project end-
users as being important in the sustainable management of
community-driven projects even though the people in this part of
the country are so attached to their culture and the traditional
institutions they incarnate.
Question What is the attitude of those people living in high relief parts of
your community towards supporting the ongoing implementation
of the water supply/hydro-electricity/forest conservation project?
Response „…the gravity-driven system, which started in 2005, was limited to
the neighbourhoods of Fujua, Fundong village and Mentang in the
low-lying western part of the main water project catchment at
Fujua hillside. The system could not pump water to high-relief
settlements such as Laikom, Ngwah and Abuh, which are the
highest altitude villages in the sub-division, and they could not be
supplied with potable water.‟ The informant noted that the site of
the main water catchment on the highest relief part of the
community enables it to pump water all year round to the western
low-lying villages of Fujua, Mentang, Fundong and Mentang.
Question What training activities have you put in place to build the capacity
of community members in the management of community water
supply/hydro-electricity/forest conservation projects?
Response „…we overwhelmingly experience low levels of technical
capabilities in terms of quantity and quality in the running of our
community-driven projects. For instance, the Fundong-Mentang-
Fujua-Ngwainkuma water supply main line (over 17 miles
pipeline) is being looked after by just two local technicians. Efforts
have been made by the village development association (FUVIDA)
to recruit and train young technicians for handling community-
related project issues but very limited success has been achieved.

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Young people are so much interested in pursuing their careers
than engaging with community projects. Also, the sizes of the
pipes and cables used are seldom in relation to the actual demand.
The use of 25mm diameter pipes for transporting potable water
from the catchment to the community and 63mm diameter pipes for
waste water pipes was the order in the communities of Fundong-
Mentang-Fujua-Ngwainkuma. At times pressure is so high on the
pipes to the extent that the pipes explode, causing undue
breakdowns that deprive community members of water.‟
Question How cordial is the relationship between project committee
members and the rest of the community members in terms of trust
and respect?
Response „…the relationship has been mixed. Some elite and officials of our
communities have attempted to use the project to make political
gains. But members of our water management are open-minded
and work very closely with the grassroots. Whenever money is
raised and spent, the grassroots people are invited and provided
an account of how the money was spent. We equally make sure that
those who are chosen to implement this project are people of
integrity.‟
Question It is well known that funding challenges are common with all
projects. What are the specific financial challenges you face in
running the hydro-electricity/water supply/forest project in this
community?
Response „…although our community-driven water supply project is quite
sustainable, like any other project that is driven by the community
in the NWRC it faces some funding issues. For instance, most often
it takes longer for the managing committee to recover cost
incurred in the case of damage or a rupture. Some community
members refuse to contribute and some prefer to pay in kind than
in cash. However, the culture of self-reliant development to
acquire basic amenities for their communities has strengthened
solidarity at local level and this is helps in cost-recovery efforts.‟

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Interview 9
Date 18/04/15
Time 09.15pm
Place Fundong Village
Interviewee F3 (Mr Marnus Chia)
Position of
interviewee
Project caretaker
Question Do you think the project providers had adequate knowledge of the
culture and religious beliefs of the end-users before implementing the
water supply/hydro-electricity/forest conservation project?
Response „…socio-cultural conflicts were avoided between the project
providers and the custodians of the Ikuo Shrine as adequate
measures were taken not to temper with the shrine, which is close to
the second catchment for the Fundong-Mentang Community Water
Project. The shrine was never desecrated or relocated. In a similar
manner, the priest of Ibein Shrine in Mentang had no problems with
the project because the passage of the pipeline was notified to the
gods of the shrine.‟ The informant noted that the project did not
violate or affect the traditional systems. (Traditional off-days are
those days of a traditional week, which are reserved for the gods of
the land.) The informant said that during these days, which are often
two, no one is authorised to go to the farm or forest or specific
streams because his or her presence will disturb the tranquillity or
activities of the gods of the land.
Question What is the attitude of those people living in high-relief parts of your
community towards supporting the ongoing implementation of water
supply/hydro-electricity/forest conservation project?
Response „…the Mbororo ethnic group often choose to settle in high-relief or
isolated areas of the community because they are always in need of
pasture land to graze their cattle. This makes it expensive and at
times hard to extend community project services to their
neighbourhood. Whenever they notice that service providers have
marginalised them or want to go against their socio-cultural life
practices, they simply refuse to collaborate. This usually becomes a
source of conflicts and quite often the installations are vandalised
shortly after the project is realised, particularly as the Mbororo live
close to the catchment areas or along the main water supply line.‟
Question What training activities have you put in place to build the capacity of
community members in the management of community water
supply/hydro-electricity/forest conservation projects?
Response „… Due to the lack of formally trained technicians to work for the
implementation of our community-run projects after they are been
implanted by NGOs with a good level of technical expertise, we do

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get refresher training on how to improve our services. The local
population is expected to continue ensuring the technical expertise,
which is not always available or so limited because when the donor
agency is about to return, they will sparingly train one person who is
expected to ensure the technical expertise needed for the life of the
project. Just one person, who is trained within a very short period, is
usually loaded with work and at times this only trained person
prefers doing other lucrative things for a living since he or she is not
usually employed full-time by the community.‟
Question Do you think party politics is affecting the collaboration of local
stakeholders towards the smooth running of an electricity/water
supply/forest conservation project in your community?
Response „…the activities of our water project provider from start to finish
were tele-guided by some politically elite members and the elite
using their political influence to control how the project ought to be
executed. This made the local population perceive the project as not
truly theirs and any effort to collect funds for repair purpose is often
difficult.‟
Question What is your opinion on the willingness of community members to
financially, or otherwise, contribute to the running of electricity/
water/ forest projects in this community?
Response „…the token sum of £1 (FCFA 750) that each family was levied to
pay once after every three months to make up for the running cost
was difficult to collected. Some people deliberately refused to pay
and others preferred to pay in kind and yet others refused because
they claimed that they did not consume the water or that the money
they pay for bills was not being accounted for.‟ The informant noted
that there are many problems of financial impropriety that have
dissuaded community members from paying maintenances fee or
digging pipeline trenches. All these led to an accumulation of bills
and a rupture in the functioning of the whole system with most of the
taps closed.

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Interview 10
Date 21/04/15
Time 1PM
Place Kingomen Village
Interviewee K1 (Mr Emmanuel Bongwirnso)
Position of
interviewee
Project initiator/Chairperson
Question What do you think about the future of community-managed projects
in the NWRC without consideration of the socio-cultural aspects of
the local communities in their management?
Response „…You know the NWRC is one of those regions in the country where
the people are still very closely attached to their culture and
traditional institutions. So if these community projects are to
succeed, the culture of the people which is their daily life and
institutions should be part of the projects. Our own small project
here in Kingomen has taken care of that from the time the Fon of Nso
authorised the Shuufai of Kingomen to perform the initial rites which
serve as setting the fire. But you will find out for yourselves as you
are moving that many of those community projects in the NWRC
which lack these socio-cultural aspects are rejected by the people.‟
„The case of community forests here in Nso is very clear. Community
forestry has made traditional landlords lose their rights and respect.
Our community electricity project is not like that. Another traditional
thing that we did was to negotiate for some traditional rites to be
performed so that those whose totems were going to be affected by
the project would be relocated. This was not done by force as the
village people needed the project so much. In 2013 the Palace
awarded me a red feather as a sign of recognition for the success of
the Kingomen community electricity project. In fact, many socio-
economic structures that were uncommon in Kingomen became
erected as a result of the availability of electricity. Among these
socio-economic structures were bars, shops, grinding mills and
barber‟s shops. At the same time many households were and are
exploiting the power for various purposes such as lighting, charging
of mobile phones, playing radios and TV sets and to drive their
electrical appliances. It means an improvement of the living
conditions of the local people.‟
Sub-question Thank you very much, but why are the socio-cultural aspects of the
local people not integrated in the realisation and management phases
of some of the community projects in the NWRC?
Interviewee response „… The first thing is that community project providers in the NWRC
differ. Some of them do not know the culture of the NW people and
quite often they spend limited or no time at all to understanding the

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culture of the people and the fact that their life revolves around their
socio-cultural and traditional institutions. This means that for
anything to work well in any community in the NWRC, the socio-
cultural units and traditional institutions of the people must play an
important role. You will agree with me that whenever limited
contacts are made between project providers and end-users, there is
a very high probability that socio-culturally-related conflicts will
emerge and will tend to affect the life of even community-driven
projects negatively. Secondly, waterfalls for community hydro-
electricity projects and water catchments for the tapping of
community potable water in the NWRC are most often areas of
totemism for the custodians of the traditions of the people. Project
providers who know all these make sure that they do not go against
as the local people will cause problems. Specifically with regards to
our rural electrification supply project, during the dry season the
voltage is too low and during periods of erratic rainfall of high
intensity, the voltage is usually very high. The low and high voltage
causes damage to our appliances and at times makes it hard for us to
supply all quarters in the village with light.‟
Question Are you aware of the phenomenon of climate change? Is the
Kingomen community-managed hydro-electricity project affected by
climate variability and change?
Response „…one of the major challenges we face is that of clearing off debris
or load that is usually transported by run-off and the River Tonsaiy
on which the dam is constructed.‟ This load, the informant said,
blocks the turbines engendering low voltage even during the rainy
season.
Question How cordial is the relationship between project committee members
and the rest of the community members in terms of trust and respect?
Response „…even among the committee members the relationship seems not
cordial and I cannot actually explain why. There is a management
committee for the Kingomen community-managed hydro-electricity
project where I am a mere first school leaver and technician, and I
cannot understand why the secretary finds it difficult to develop
minutes or the chairperson to call for meetings.‟
Sub-question In what ways are you motivated for the services you render to this
community?
Response „…at grassroots level, there are seldom long-term management
incentives since the belief is that as a member of a community, one
needs no incentives to work for one‟s people. Those who attempt to
motivate the project provider did that in kind by offering a few
baskets of cocoyams, buckets of maize and beans, and bundles of
vegetables to compensate for the power they consume.‟

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Question Thank you very much. What other challenges can you think of that
are limiting the sustainability of the Kingomen small-scheme hydro-
electricity project?
Response „…the Kingomen small-scheme hydro-electricity project was
implanted without any prior feasibility studies being carried out and
the carrying capacity of the scheme was unknown. The initial idea
was to generate power for my business store at the Village Square
and from the estimated debit of River Tonsaiy there was no need for
any elaborate feasibility studies. Even the running cost was not
important because I knew that my business was going to cover it. But
when the project started, the issue of community solidarity came in
and I involved the whole community, thereby complicating the
project. Also, there is a lack of young people to work as technicians
with me in the project. Young people in Kingomen are not interested
to come for me to train them and I cannot force myself to train them.
And there have been severe financial difficulties that have made us
improvise the material used. The Mayor of Kumbo Urban Council,
however, provided the management committee with some money.
This money was used to acquire a transformer, a number of nine-
metre long poles and cables from Energy of Cameroon which were
used to replace most of the improvised material such as locally
fabricated transformers, cables from tyres and locally harvested and
untreated poles.‟
Question Which are the governance issues that Kingomen small-scheme
hydro-electricity project is facing?
Response „…to politicize the project and at the same time accusing me of
running the project as a private business whereas the chairperson of
the project is not calling for meetings. In addition, committee
members are not collaborating to even see to it that people pay the
agreed token for consumption bills. The network may not even be
extended again, for people do not want to pay even the running cost.
There are some people who do not want to collaborate, some even
requested that their lines should be suspended and I did so. But you
will be surprised that when you go to drinking places around the
Village Square here, you will find them charging their phones with
the same light that they have rejected. Some women struggle to keep
using the light but a good number of them pay in kind and it becomes
a problem for me to go and sell the farm produce in Kumbo.‟

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Interview 11
Date 22/04/15
Time 11.35am
Place Kingomen village
Interviewee K2 (Mrs Ernestine Jingla)
Position of
interviewee
Member of project coordinating team
Question Do you think the Kingomen community-managed hydro-electricity
project faces a number of socio-cultural problems as is the case with
many other community-driven projects in the NWRC?
Response „…socio-cultural issues are more internal since they form the entire
day-to-day life of project end-users and the project end-users master
their intricacies better. The entire traditional authority in Nso is in
favour of the Kingomen small-scheme hydro-electricity project. The
problems facing the project do not have anything to do with the
socio-cultural life of the local people.‟
Sub-question Thank you very much. What then are the major problems facing the
Kingomen community electricity project?
Response „…financial, training, limited collaboration and climate change. The
financial problems are very serious because project end-users prefer
to pay bills in kind and when there is a bit of money the project
provider manages it alone. People here are poor and women are
those struggling that this light should be in their homes. Some men
have their own type of problems with the project initiator and do not
have time with the light although you will find them charging their
phones using the current in drinking places. This has discouraged us
from collaborating and participating fully in the project. As concerns
training, young people are not being trained to carry out even minor
repairs in the absence of the project provider. When there is any
fault, one must wait till the project provider comes. Even if it means
that you will wait for days. This is the main reason that you will find
many boys here struggling to do repairs and at times installations
even though they are not trained. The issue of training young people
seems to be complicated because some boys will say that the project
initiator does not want to train them but when you meet the project
initiator he will be complaining that the work is too much for him
and that there are no young people who are interested to work with
him so that he can train them. But many people in Kingomen feel that
the project initiator does not want to train young people for fear of
competition. After everything this is a wonderful project, which
everybody has to support. If the project is succeeding today it is
thanks to the effort of the project initiator and some philanthropic
persons such as the Mayor of Kumbo who has enabled us to get some

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transformers and SONEL poles. The village people are still to do
enough for the smooth running of the project. Who could have
imagined that Kingomen was going to have light! Everybody is
happy with the project but there are politicians who are struggling to
discourage others, coupled with the low levels of education of the
people.‟
Sub-question Yes, you talked of climate change. How does it affect the ongoing
implementation of your community-managed hydro-electric project?
Response „…seasonal variations in the volume of water in the River Tonsaiy
that supplies water needed to spin the turbine leads to low power
generation in Kingomen during the dry season. During the rainy
season, there are days that the voltage is too high causing bulbs and
other appliances to blow out. Many phones tend to have problems
here with batteries because of the unstable nature of the voltage.
When the voltage is very low we cannot use the grinding machines
and you know that our people eat corn fufu every day. Even boys
who are running barbing saloons face the same problems of low
voltage and the destruction of shaving machines. These problems are
persisting like this because people are poor and do not have money
to buy stabilizers.‟

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Interview 12
Date 23/04/15
Time 9.45am
Place Kingomen village
Interviewee K3 (Joseph Bim)
Position of
interviewee
Project technician
Question Good morning Mr Bim, do you think that community-managed
projects in the NWRC such as the Kingomen rural hydro-electricity
supply project face socio-cultural challenges that affect their
sustainability?
Response „…some actually face serious cultural problems while others do not.
Community-managed projects that are initiated by people who are
not from the NWRC tend to neglect the fact that we in the NWRC are
so attached to our culture and our traditional institutions. Here in
Nso any project that excludes the Fon (Palace), Nwerong which is
also called Kwifon (the regulatory society) and the Shuufais and Fais
can never work. The failure of many community forest projects in the
NWRC is because of these cultural problems. The community forests
in Kilum-Ijim are facing problems today because the culture of the
people was neglected and even when the Fons were called up in the
course of time to give their consent, many things had already gone
wrong which were difficult to correct. That notwithstanding, many of
those community-managed projects in the NWRC such as the
Kingomen electricity project do not face these cultural problems. The
Fon, the regulatory society and the Shuufais of Kingomen are
integral stakeholders of the project. The Fon even recognised the
project initiator in 2013 as an illustrious son with a red feather.‟
Question Are you aware of climate change? How does it influence the
Kingomen community-managed electricity project?
Response „…climate change has distorted rainfall patterns and rainfall seems
to be reducing every year making the volume of River Tonsaiy over
which the dam is constructed to be reducing. As the volume reduces,
the current generated also reduces, leading to low voltage
particularly during the dry season. In the course of the year we may
experience heavy rains that will lead to overflow of the dam and
when it happens like that the voltage may become too high. During
periods of low voltage many activities in the village which are
power-driven are grounded and during periods of high voltage,
many people will lose their appliances including bulbs and
telephones. Besides the destruction of appliances, when the dam
overflows, transported material at times will block the turbines
depriving us of power or causing low voltage.‟

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Question What technical challenges is the project facing?
Response „…Well it is a small scheme just for a village community and the
technical challenges may not be so many. But we would have
expected the project initiator to have trained some young people by
now to handle issues of wiring people‟s homes and carrying out
minor repairs even in his absence. It is not normal that the least-fault
users must wait until the project initiator is around for the problem
to be solved. He is a businessman who is so busy and we do not know
why he is not training young people in the domain. Due to this
absence of formal training, many people in Kingomen have become
self-practising electricians which is a very risky thing.‟
Question How cordial is the relationship between project committee members
and the rest of the community members in terms of trust and respect?
Response „…at times, community-managed projects are bound to have
problems between project committee members. For instance, the
project initiator of the Kingomen small-scheme hydro-electricity
project is using the project to advertise himself, making the other
committee members feel uncomfortable. When he was given a red
feather by the Fon, he did not make it clear that it was a collective
effort because all of us in the management committee have been
working for the success of the project. Although he started the
project as a personal initiative, when the village people expressed
the need to be part of it and a management committee was formed,
the perception of the project initiator of the Kingomen small-scheme
hydro-electricity project was supposed to change. Even from the
name you will notice that it does not clearly indicate that it is a
community-managed project. There is a management committee but
the project initiator still wants to do everything alone, particularly as
he is the technician who masters all technical aspects concerning
electrical work. So the other committee members have become
passive although not against the project. At times when meetings are
to be organised he is not always available and we are afraid to
organise meetings in his absence for fear of being accused of trying
to hijack the project.‟
Question In what way are you of the management committee motivated for the
services you render to the community?
Response „…not actually motivated. But the project initiator uses some of the
food that some people give as compensation for the light they
consume for himself. Some committee members try to motivate
themselves when they collect bills, which is not correct. This is
probably where the project initiator wants to control the finances
alone.‟
Question Thank you very much. Are you now saying that there is lack of

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transparency in the management of the funds?
Response „… Actually, Committee members feel that the project initiator is still
considering the project as his private business because he manages
all the money alone. Even when assistance is given by the State or a
private individual, he decides on what to use for the project alone
and he buys everything for the project alone. But the project is
ongoing and expanding, which is a good thing.‟
Question It is well known that funding challenges are common with all
projects. What are the specific funding challenges you face in
running the electricity/water/ forest project in this community?
Response „…many problems. It has not been long that we had transformers,
and some SONEL cables and poles thanks to the financial support of
the Mayor of Kumbo. Due to funding difficulties, the first lone
transformer that was used for the project was fabricated by the
project initiator and people here were using sticks as poles and wires
gotten from burnt tyres as cables. You can still find many of these
cables crossing from one compound to another and in people‟s
homes. The payment of bills is not regular and some people pay in
terms of baskets of farm produce, which makes it difficult to buy
spare parts for emergency repairs. If there were finances, the scheme
could have already extended to all neighbourhoods in the village.‟

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Appendix 2: Questionnaire

I-INTERVIEW GUIDE
I am a PhD research student at Cardiff Metropolitan University in UK. I am
asking you for help in implementing my PhD research project by giving me some of
your time for interview.
I am requesting an interview lasting between 45 minutes to one hour. You can
assist us to foster this research by co-operating in our assessment of the sustainability
of Community-Managed Projects in the North West Region of Cameroon. The
interview questions are enclosed. I would like to tape the meeting to conserve time
and lessen the burden of handwritten notes. I would like to give you my assurance that
the conversation will be totally confidential.
With your help, Cameroon and African researchers like me will acquire
invaluable skills that will be useful for the sustainability of projects back home and
our emergence. We are hopeful you will co-operate with us towards achieving the
desired goals.
Enclosed with this letter is a contact address, which you may use to indicate
your willingness to co-operate with us. Thank you for the courtesy of your assistance.

Very sincerely yours,

Victor Agha-Ah Mah

Tel: +447438322020
E-mail: mahvicky17@yahoo.co.uk

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Research objective 1
To find out the extent to which knowledge of socio-cultural background of
project end-users is fundamental in the sustainability of community-managed
projects in the North West Region of Cameroon.
Questions
1) Do you think the project providers had adequate knowledge of cultural and
religious beliefs of the end-users before implementing the water/hydro-
electricity/forest conservation project? …………………………………………………………………
…………………………………………………………………………………………………………………………
2) What do you think is the future of a community-managed project without due
consideration of the cultural sites, practices and social life of the beneficiary
population? ……………………………………………………………………………………………………….
…………………………………………………………………………………………………………………………
3) Do you think disassociating traditional belief systems in the management process
of community projects engenders socio-culturally related conflicts which threaten the
sustainability of CMPs in the region? …………………………………………………………………
……………………………………………………………………………………………………………………….
4) Apart from the neglect of traditional belief of end-users by project providers, what
do you think is the future of a community project without due consideration of the
socio-political structures that the project beneficiaries encarnate? …………………………..
………………………………………………………………………………………………………………………..
Research Objective 2
To understand how environmental constraints associated with topography,
climate variability and change impact on the sustainability of community-
managed projects in the North West Region of Cameroon.
Questions
5) What is the attitude of those people living in high relief parts of your community
towards supporting the ongoing implementation of water supply/electricity/forest
conservation projects?…………………………………………………………………………………………
…………………………………………………………………………………………………………………………
6) Do you think an increasing number of days of no rainfall and reducing water
discharge from the aquifer in the catchment area affect the ongoing running of
water/hydro-electricity/community forest projects?………………………………………………..

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…………………………………………………………………………………………………………………………
7) What is your opinion about the threat of dry season-related fires on the ongoing
running of your community-managed water supply/hydro-electricity/forest project?
…………………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………………
Research objective 3
To ascertain the quality and quantity of existing human resources at grassroots
level in the North West Region of Cameroon and how these influence the
sustainability of community-managed projects in the region.
Questions
8) Do you think inadequate qualified technicians/committee members at grassroots
level and weak coordination resources among community stakeholders affect the
sustainability of projects that your community is running? ……………………………………..
…………………………………………………………………………………………………………………………
9) What training activities have you put in place to build the capacity of community
members in managing community water/electricity/forest conservation projects?
………………………………………………………………………………………………………………………..
…………………………………………………………………………………………………………………………
Research objective 4
To examine the relationship existing between governance in community-
managed projects, confidence in physical persons and the sustainability of
community-managed projects in the North West Region of Cameroon.
Questions
10) Do you think party politics is affecting the coordination of local stakeholders
towards the smooth running of a hydro-electricity/water supply/forest conservation
project in your community? ………………………………………………………………………………..
………………………………………………………………………………………………………………………..
11) Do you think the exoneration of traditional leaders from forest conservation/
water supply/electricity project management responsibilities riddles their
sustainability? …………………………………………………………………………………………………..
………………………………………………………………………………………………………………………..
12) How cordial is the relationship between project committee members and the rest
of the community members in terms of trust and respect? ………………………………………

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…………………………………………………………………………………………………………………………
Research objective 5
To investigate common funding challenges in the North West Region of
Cameroon and how they affect the sustainability of community-managed
projects in the region.
Questions
13) It is well known that funding challenges are common with all projects. What are
the specific funding challenges you face in running the electricity/water/forest project
in this community? ……………………………………………………………………………………….
…………………………………………………………………………………………………………………………
14) What is your opinion about the willingness of community members to financially,
or otherwise, contribute to the running of the hydro-electricity/water/forest project in
this community? ………………………………………………………………………………………………..
…………………………………………………………………………………………………………………………

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II-SURVEY QUESTIONNAIRE
I am asking you for help in fostering my PhD research project by co-operating in our
assessment of the underlying issues limiting the sustainability of Community-
Managed Projects in the North West Region of Cameroon. I would like to give you
my assurance that your views and identity will be kept strictly private and
confidential.
With your help, Cameroon and African researchers like me will acquire invaluable
skills that will be useful for assessing the sustainability of projects back home and our
emergence. We are hopeful you will co-operate with us towards achieving the desired
goals.

QUESTIONS
Answer questions on table 1 by ticking the correct option

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Table 1: Tick either Agree or Disagree for project identification and project provider
No Project identification Community water
project
Community electricity
project
Community forest
project
1a Which of the project(s) is run by
your community/village?
Agree Disagree Agree Disagree Agree Disagree

Identification of project provider

1b

Who provided the project to your
community?
Our development association Answer
tag
Tick
Agree
Disagree
Our development association and the council Answer
tag
Tick
Agree
Disagree
An NGO in our community Answer
tag
Tick
Agree
Disagree
An NGO out of our community Answer
tag
Tick
Agree
Disagree
An illustrious son/daughter Answer
tag
Tick
Agree
Disagree
Our sons and daughters in the Diaspora Answer
tag
Tick
Agree
Disagree

338

Table 2: Answer by ticking Agree or Disagree where applicable in the community-managed projects you know in the NWRC

N
o

Do the following socio-culturally related aspects negatively affect the implantation and running of community water/electricity/forest projects in the
NWRC?

Question tag
Community water projects Community electricity projects Community forest projects
Agree Disagree No idea Agree Disagree No idea Agree Disagree No idea
1 Do limited regards for socio-cultural practices by project
providers riddle the sustainability of water supply/hydro-
electric/forest conservation projects?

2 Do you agree or disagree that failing to consider the
cultural sites and social life project of end-users in the
entire frame community project management affect their
sustainability?
Agree Disagree No idea Agree Disagree No idea Agree Disagree No idea

3 Do you agree or disagree with the idea that your
community project tends to demystify traditional belief
systems leading to violation of taboos such as traditional
off-days?
Agree Disagree No idea Agree Disagree No idea Agree Disagree No idea

4 Is it true that conflicting relationships between project
providers and kwifon (priests of shrines and sacred
groves) riddle the sustainability of projects in your
community?
Agree Disagree No idea Agree Disagree No idea Agree Disagree No idea

339

Table 3: Answer questions by ticking Agree; strongly agree, Disagree, strongly disagree where applicable in the community projects you know in the NWRC

N
o

Do you think the following climate-related issues affect the long-term effective implementation of community-managed water/electricity/forest projects in the
NWRC
Question tag Answer tag
Community water/electricity/forest projects Strongly agree Agree Disagree Strongly disagree
1 Do you agree or disagree that high relief dwellers do not derive same benefits from CMPs in this
region?

2 Do severe dry conditions during the dry season favour bushfire accidents in and around your
project site

3 Are increasing declines in volumes of water sources affecting community ability to sustain their local
projects?

340

Table 4: Answer questions by ticking Agree or Disagree where applicable in the community projects you know in the NWRC

N
o

What is your opinion on the following governance challenges affecting the smooth management of community water/ electricity/forest projects in the NWRC?

Question tag
Community water projects Community electricity projects Community forest projects
Agree Disagree No idea Agree Disagree No idea Agree Disagree No idea
1 Do you agree or disagree that the level of socio-culturally related
conflicts in CMPs depends on the type of relation between project
providers and end-users?

2 The primary beneficiary law is subjectively implemented in your
community-managed project?
Agree Disagree No idea Agree Disagree No idea Agree Disagree No idea

3 Is it true that some project providers use community projects as their
private enterprises for generating personal income?
Agree Disagree No idea Agree Disagree No idea Agree Disagree No idea

341

Table 5: Answer questions by ticking Agree; No idea; Disagree where applicable in the community projects you know in the NWRC
N
o
Do you agree or disagree with the following funding challenges affecting the sustainability of community-managed projects in the NWRC?
Question tag Community water project Community electricity project Community forest project
1 Exoneration of Fons’ Palaces and government services from paying
running costs for community projects makes grassroots populations
become reluctant to pay for their own share of the project’s
running costs
Agree No idea Disagree Agree No idea Disagree Agree No idea Disagree

2 The Community project committee did not adequately estimate the
long-term running cost and did not actually map out viable funding
mechanisms for future innovations, extension and management of
its projects
Agree No idea Disagree Agree No idea Disagree Agree No idea Disagree

3 The absence of the key community members who were soliciting
funding for the running of your community projects or their sudden
passive participation has made it difficult for your community to
have funding for the project
Agree No idea Disagree Agree No idea Disagree Agree No idea Disagree

342

Table 6: Answer questions by ticking Agree; No idea; Disagree where applicable in the community projects you know in the NWRC
N
o
To what extent do the following technical challenges affect the sustainability of community-managed projects in the NWRC?
Question tag Community water project Community electricity project Community forest project
1 Project providers did not adequately train
grassroots technicians/committee members to
carry out extension and repair works in case of
breakdowns
Agree No idea Disagree Agree No idea Disagree Agree No idea Disagree

2 Low levels of expertise at grassroots level to
regenerate, monitor and evaluate projects riddle
the sustainability of community-managed projects
in the NWRC
Agree No idea Disagree Agree No idea Disagree Agree No idea Disagree

3 The numbers of trained technicians working for
your community-managed projects are
insufficient?
Agree No idea Disagree Agree No idea Disagree Agree No idea Disagree

THANK YOU FOR COLLABORATING

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